Dennis R. Shannon
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.
Dennis Regis Shannon was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1980. Dennis had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1989 - July 31, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
May 19, 1989 - December 31, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 28, 1980 - May 25, 1989
UBS FINANCIAL SERVICES INC.
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
Current Firm
TRANSAMERICA SECURITIES SALES CORPORATION
CRD#: 17970 / SEC#: , 8-35847
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | TREASURER | 3162477 |
| CHUANG, GEORGE CHUWANG | VICE PRESIDENT AND FINANCIAL PRINCIPAL | 3162477 |
| CHUANG, GEORGE CHUWANG | PRESIDENT | 3162477 |
| CHUANG, GEORGE CHUWANG | CHIEF FINANCIAL OFFICER | 3162477 |
| GOK, LISA ANNE | DIRECTOR | 5059738 |
| RIDER, KERRY KEARNS | CHIEF COMPLIANCE OFFICER, SECRETARY | 2166195 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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