Shannon N. Kerber

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CRD#: 6906276

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.

Shannon Nichols Kerber, who also goes by Shannon Hilary Nichols, was a registered financial professional .

Shannon is a previously registered financial professional and started their career in finance in 2018. Shannon had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shannon Hilary Nichols

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2022 - August 14, 2024

WINDWARD CAPITAL MANAGEMENT CO

RIA

CRD#: 106908

LOS ANGELES, CA

Past

January 3, 2022 - August 15, 2024

S.L. REED & COMPANY

CRD#: 40744

LOS ANGELES, CA

Past

December 10, 2019 - January 10, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Beverly Hills, CA

Past

December 10, 2019 - January 10, 2022

MORGAN STANLEY

CRD#: 149777

Beverly Hills, CA

Past

September 13, 2018 - October 16, 2019

S.L. REED & COMPANY

CRD#: 40744

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WINDWARD CAPITAL MANAGEMENT CO

CRD#: 106908 / SEC#: 801-50819

RIA

Registered Investment Advisory firm - (12/14/1995 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/10/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/8/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/13/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WINDWARD CAPITAL MANAGEMENT CO

CRD#: 106908 / SEC#: 801-50819

RIA

Registered Investment Advisory firm - (12/14/1995 Approved)

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Contact information

Main Address

11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 893-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-B DATED 060523 (8/18/2025)

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 1,326,123,739

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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Advisor Monitoring

Firm Stability Insights

Shannon N. Kerber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

S.L. REED & COMPANY

MORGAN STANLEY

MORGAN STANLEY

S.L. REED & COMPANY

Primary Firm SEC Registration

WINDWARD CAPITAL MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2019

Series 63

Date: 11/10/2018

Series 7TO

Date: 1/8/2019

SIE

Date: 10/1/2018

Series 6

Date: 9/13/2018

Current Firm

WINDWARD CAPITAL MANAGEMENT CO

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINDWARD CAPITAL MANAGEMENT CO

TRUST BUT VERIFY

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