Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Cutts Shannon is a financial professional with over 20 years of experience in the securities industry. Richard currently is registered with Craig-Hallum Capital Group LLC. Richard has been registered with the firm since 2011. Prior to that, Richard worked at Northland Securities, Inc., Piper Jaffray & Co., UBS Securities LLC, Epoch Partners, and John G. Kinnard and Company, Incorporated. Richard is Series 63, Series 7, Series 87, and SIE licensed. Richard is licensed to provide investment advice in Minnesota.
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.
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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2
MN
08/31/2011 - Present
Craig-Hallum Capital Group LLC (MINNEAPOLIS MN)
MN
04/17/2006 - 08/24/2011
NORTHLAND SECURITIES, INC. (MINNEAPOLIS MN)
MN
03/11/2004 - 06/09/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NY
11/09/2001 - 03/11/2004
UBS SECURITIES LLC (NEW YORK NY)
MA
08/30/2000 - 07/17/2001
EPOCH PARTNERS (SOUTHBOROUGH MA)
MN
01/22/1999 - 08/11/2000
JOHN G. KINNARD AND COMPANY, INCORPORATED (MINNEAPOLIS MN)
BC
Issued 02/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/21/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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