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Matthew Edward Shannon

Purshe Kaplan Sterling Investments

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About Matthew Edward Shannon

Matthew Edward Shannon is a financial professional with over 10 years of experience in the industry. Matthew is currently registered with Purshe Kaplan Sterling Investments and holds a Series 7TO, Series 6, Series 24 and Series 14 licenses. Matthew has previously worked with Goldman Sachs & Co. LLC, Purshe Kaplan Sterling Investments, Citizens Securities, Inc., and Key Investment Services LLC. Matthew is a resident of Albany, New York and is licensed to provide financial services in New York.

Firm Information

Matthew 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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Matthew Shannon’s Registration & Firm History

NY

11/11/2021 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

NY

05/10/2021 - 12/02/2021

GOLDMAN SACHS & CO. LLC (COHOES NY)

NY

04/11/2016 - 04/22/2021

PURSHE KAPLAN STERLING INVESTMENTS (ALBANY NY)

NY

10/27/2015 - 04/19/2016

CITIZENS SECURITIES, INC. (ALBANY NY)

NY

04/29/2013 - 07/22/2015

KEY INVESTMENT SERVICES LLC (ALTAMONT NY)

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Licenses & Designations

BC

Issued 12/22/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/27/2023

Series 14 - Compliance Officer Examination

BC

Issued 12/11/2019

Series 24 - General Securities Principal Examination

BC

Issued 09/25/2023

Series 99TO - Operations Professional Examination

BC

Issued 04/16/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/26/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew Edward Shannon.
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