Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you F? Claim Your ProfileFrancis X Shannon IV is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Francis is registered to provide investment advice in 32 states including Maryland, New Jersey and Pennsylvania. Francis has been in the securities industry since 2005 and has previously worked for CITIGROUP GLOBAL MARKETS INC. and LEGG MASON WOOD WALKER, INCORPORATED. Francis is a Series 66 and Series 31 licensed advisor and specializes in providing investment advice and financial planning to individual, institutional, and business clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MD
02/09/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANNAPOLIS MD)
MD
02/21/2006 - 08/04/2006
CITIGROUP GLOBAL MARKETS INC. (ANNAPOLIS MD)
MD
06/29/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 10/10/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 06/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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