Kevin R. Shanley
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.
Kevin Raymond Shanley, who also goes by Kevin R Shanley, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1981. Kevin had worked at 7 firms and has passed the Series 65, 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
August 23, 2004 - December 31, 2016
SHANLEY ASSET MANAGEMENT, INC.
November 21, 1994 - August 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1994 - August 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - October 28, 1994
CITIGROUP GLOBAL MARKETS INC.
April 8, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
March 21, 1985 - April 8, 1991
J.P. MORGAN SECURITIES LLC
August 4, 1982 - February 25, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1981 - August 13, 1982
UBS FINANCIAL SERVICES INC.
February 23, 1981 - June 12, 1981
SOUTHMARK 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
SHANLEY ASSET MANAGEMENT, INC.
CRD#: 132405 / SEC#: 801-63400
Contact information
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.
