Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sprout Shannon is a financial advisor currently registered with First Trust Advisors LP and has been in the industry since September 6, 1998. Michael Sprout Shannon has passed the Series 63, 66, 7 and SIE exams. Michael Sprout Shannon has experience with financial planning for individuals, investment companies, pooled investment vehicles, and businesses.
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.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
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2
IL
10/01/2012 - Present
First Trust Advisors LP (WHEATON IL)
NY
02/28/2008 - 03/31/2011
DWS INVESTMENTS DISTRIBUTORS, INC (NEW YORK NY)
CA
12/07/2004 - 02/21/2008
PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)
MA
08/16/2004 - 12/16/2004
MFS/SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
NY
12/13/2002 - 08/31/2004
IFMG SECURITIES, INC. (PURCHASE NY)
MA
04/17/2002 - 12/31/2002
SUN LIFE OF CANADA (U.S.) DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
PA
02/07/2001 - 10/23/2001
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NY
10/01/1999 - 11/28/2000
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
OR
06/11/1999 - 10/01/1999
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
IN
11/02/1998 - 06/07/1999
CONSECO FINANCIAL SERVICES, INC. (CARMEL IN)
PA
04/09/1998 - 09/11/1998
JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)
IA
11/03/1997 - 06/08/1998
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
BOTH
Issued 09/28/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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