Luann M. Shay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luann Michele Shay, who also goes by Luann M Wiltz, Luann Michele Wiltz, was a registered financial professional .
Luann is a previously registered financial professional and started their career in finance in 2017. Luann had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - January 19, 2023
ATLATL ADVISERS
October 31, 2018 - October 25, 2019
UBS FINANCIAL SERVICES INC.
July 18, 2018 - October 25, 2019
UBS FINANCIAL SERVICES INC.
September 25, 2017 - March 26, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
ATLATL ADVISERS
CRD#: 284036 / SEC#: 801-129418
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/15/2018
General Securities Representative ExaminationCurrent Firm
ATLATL ADVISERS
CRD#: 284036 / SEC#: 801-129418
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 229,891,703 |
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.
