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SG

Shannen M. Gorman

GEORGESON SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 6857190
SG

Professional summary

Shannen M Gorman, who also goes by Shannen Gorman, is a registered financial professional currently at GEORGESON SECURITIES CORPORATION located in New York, New York.

Shannen is registered as a RR (Registered Representative) and started their career in finance in 2024. Shannen has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannen Gorman

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 Shannen M Gorman'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

April 17, 2026 - Present

GEORGESON SECURITIES CORPORATION

Office #1: 51 West 52nd Street 6th Floor, New York, NY 10019
BD
CRD#: 46749
New York, NY
Past

August 27, 2024 - June 12, 2025

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 17, 2024 - September 16, 2025

MORGAN STANLEY

BD
CRD#: 149777
New York, NY

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
Massachusetts
(4/17/2026)
RR
New Jersey
(4/17/2026)
RR
New York
(4/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/17/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/17/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/21/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GEORGESON SECURITIES CORPORATION
GEORGESON SECURITIES CORPORATION | GEORGESON SHAREHOLDER SECURITIES CORP.

CRD#: 46749 / SEC#: , 8-51538

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
118 Fernwood Avenue, Edison, NJ 08837
Mailing Address
118 Fernwood Avenue, Edison, NJ 08837
Phone number
(201) 275-5342
Established
Delaware since 12/15/1998
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGESON LLC100% OWNER
CHASSE, JEFFREY GEORGEASSISTANT TREASURER6383899
CLEMONS, GREGORY JOEASSISTANT TREASURER7162929
FRIERSON, SHEILABOARD DIRECTOR7463457
FROMBERG, ROBERT MARCSECRETARY6034320
GRUBER, CATHERINEASSISTANT TREASURER7658317
MOCOGNI, SHAWNA LEIGHASSISTANT TREASURER7164315
NISLEY, CYNTHIA BLOUNTPRESIDENT/DIRECTOR5369413
PARK, JIN SOOTREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINANCIAL AND OPERATIONS PRINCIPAL4836106
TSOUNAKIS, IAKOVOSCHIEF COMPLIANCE OFFICER3259778

Disclosures

Regulatory Event5

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

GEORGESON SECURITIES CORPORATION

CRD#: 46749New York, NY 10019

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