AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KS

Katherine A. Shook

EAGLE POINT SECURITIES LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 6161126
KS

Professional summary

Katherine Ann Shook, who also goes by Katie Shook, is a registered financial professional currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut.

Katherine is registered as a RR (Registered Representative) and started their career in finance in 2013. Katherine has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie Shook

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katherine Ann Shook's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 26, 2025 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830
BD
CRD#: 324528
Greenwich, CT
Past

July 13, 2022 - March 21, 2025

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

August 14, 2020 - July 5, 2022

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

March 12, 2013 - August 19, 2020

CNL SECURITIES CORP.

BD
CRD#: 10356
ORLANDO, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/26/2025)
RR
Alaska
(3/26/2025)
RR
Arizona
(3/26/2025)
RR
Arkansas
(3/26/2025)
RR
California
(3/26/2025)
RR
Colorado
(3/26/2025)
RR
Connecticut
(3/26/2025)
RR
Delaware
(3/26/2025)
RR
District of Columbia
(3/26/2025)
RR
Florida
(3/26/2025)
RR
Georgia
(3/26/2025)
RR
Hawaii
(3/26/2025)
RR
Idaho
(3/26/2025)
RR
Illinois
(3/26/2025)
RR
Indiana
(3/26/2025)
RR
Iowa
(3/26/2025)
RR
Kansas
(3/26/2025)
RR
Kentucky
(3/26/2025)
RR
Louisiana
(3/26/2025)
RR
Maine
(3/26/2025)
RR
Maryland
(3/26/2025)
RR
Massachusetts
(3/26/2025)
RR
Michigan
(3/26/2025)
RR
Minnesota
(3/26/2025)
RR
Mississippi
(3/26/2025)
RR
Missouri
(3/26/2025)
RR
Montana
(3/26/2025)
RR
Nebraska
(3/26/2025)
RR
Nevada
(3/26/2025)
RR
New Hampshire
(3/26/2025)
RR
New Jersey
(3/26/2025)
RR
New Mexico
(3/26/2025)
RR
New York
(3/26/2025)
RR
North Carolina
(3/26/2025)
RR
North Dakota
(3/26/2025)
RR
Ohio
(3/26/2025)
RR
Oklahoma
(3/26/2025)
RR
Oregon
(3/26/2025)
RR
Pennsylvania
(3/26/2025)
RR
Puerto Rico
(3/26/2025)
RR
Rhode Island
(3/26/2025)
RR
South Carolina
(3/26/2025)
RR
South Dakota
(3/26/2025)
RR
Tennessee
(3/26/2025)
RR
Texas
(3/26/2025)
RR
Utah
(3/26/2025)
RR
Vermont
(3/26/2025)
RR
Virgin Islands
(3/26/2025)
RR
Virginia
(3/26/2025)
RR
Washington
(3/26/2025)
RR
West Virginia
(3/26/2025)
RR
Wisconsin
(3/26/2025)
RR
Wyoming
(3/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EP
EAGLE POINT SECURITIES LLC
EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Mailing Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Phone number
(203) 340-8565
Established
Delaware since 11/29/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EAGLE POINT HOLDINGS LPSOLE MEMBER
CHUNG, MICHAEL NMNFINOP/PFO5739877
DAIGLE, JENNIFFER ALYCEVICE PRESIDENT2620553
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER (POO)4197747
FOX, GERHARD ROBERTCHIEF COMPLIANCE OFFICER2796860
ROTH, JOSEPH HARRISPRESIDENT7673254

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EAGLE POINT SECURITIES LLC

CRD#: 324528Greenwich, CT 06830

TRUST BUT VERIFY

Monitor Katherine Shook

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.