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Katherine Leigh Shannon

Purshe Kaplan Sterling Investments

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About Katherine Leigh Shannon

Katherine Leigh Shannon is a financial advisor in Madison, New Jersey, with over 30 years of experience in the industry. Katherine is currently registered with Purshe Kaplan Sterling Investments. Before joining Purshe Kaplan Sterling Investments, Katherine was with UBS Financial Services Inc. and Citigroup Global Markets Inc. Katherine holds Series 7, Series 9, Series 10, and Series 63 licenses. Katherine is registered with the state of New Jersey.

Firm Information

Katherine Shannon is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Katherine Shannon’s Registration & Firm History

NJ

01/09/2019 - Present

Purshe Kaplan Sterling Investments (Madison NJ)

NJ

02/13/2009 - 01/21/2019

UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)

NJ

01/17/2006 - 03/10/2009

CITIGROUP GLOBAL MARKETS INC. (MORRISTOWN NJ)

NY

03/09/2002 - 01/27/2006

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MA

07/07/1995 - 03/09/2002

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NY

04/27/1993 - 09/14/1993

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NY

07/28/1992 - 04/26/1993

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

NY

04/23/1986 - 07/23/1992

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/13/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Katherine Leigh Shannon.
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