Shannon M. Gallagher

HEIGHT ANALYTICS

Washington, DC 20005

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CRD#: 6693065

Professional summary

Shannon Marie Gallagher, who also goes by Shannon Gallagher, is a registered financial advisor currently at HEIGHT ANALYTICS, LLC located in Washington, District Of Columbia and HEIGHT CAPITAL MARKETS located in Washington, District Of Columbia.

Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Shannon has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon Gallagher

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.

1.Height Analytics, LLC; Investment Related; 1775 Pennsylvania Avenue, NW, 11FL, Washington, DC 20006; Sale of research and analysis services; Associate; 03/2018; 60-80 hours/month; 3.5 hours during securities hours. Acting as an institutional salesperson for firm's services and products to institutional customers. 2.Height Securities, LLC; Investment Related; 1775 Pennsylvania Avenue, NW 11FL, Washington, DC 20006; Sale of research and analysis services; Associate; 03/2018; 60-80 hours/month; 3.5 hours during securities hours. Acting as an institutional salesperson for firm's services and products to institutional customers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Marie Gallagher'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

August 1, 2018 - Present

HEIGHT ANALYTICS, LLC

Office #1: 1401 New York Ave Nw Suite 700, Washington, DC 20005

RIA

CRD#: 149162

Washington, DC

Current

March 12, 2018 - Present

HEIGHT CAPITAL MARKETS

Office #1: 1401 New York Avenue Nw Suite 700, Washington, DC 20005Office #2: 1401 New York Avenue Nw Suite 700, Washington, DC 20005

CRD#: 150659

Washington, DC

Past

April 7, 2017 - March 13, 2018

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

MCLEAN, VA

Past

December 13, 2016 - March 13, 2018

CAPITAL ONE INVESTING, LLC

CRD#: 45744

McLean, VA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

District of Columbia
(3/12/2018)

IAR

District of Columbia
(8/1/2018)

Maryland
(3/12/2018)

Virginia
(3/12/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/6/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HEIGHT ANALYTICS, LLC

CRD#: 149162 / SEC#:

Colorado

Registered Investment Advisory firm - (8/23/2017 Terminated)

Connecticut

Registered Investment Advisory firm - (9/17/2010 Approved)

District of Columbia

Registered Investment Advisory firm - (1/16/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1401 New York Ave Nw Suite 700, Washington, DC 20005

Mailing Address

Phone number

(202) 629-0000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Shannon M. Gallagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Marie Gallagher's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEIGHT ANALYTICS, LLC

HEIGHT CAPITAL MARKETS

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2017

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2016

FINRA

Current Firm

HEIGHT ANALYTICS, LLC

Contact information

Documents

Red Flags

Company Information

HEIGHT ANALYTICS, LLC

TRUST BUT VERIFY

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