Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shana? Claim Your ProfileShana Rost is an investment advisor with Wells Fargo Securities, LLC. Shana has been in the financial services industry since September 11, 2007. Shana holds a Series 66 license, Series 4, Series 9, Series 10, and Series 7, Series 3, Series 82, and Series 52 licenses. Shana is registered in North Carolina. Shana has previously worked at LPL FINANCIAL LLC, WELLS FARGO CLEARING SERVICES, LLC, MORGAN STANLEY SMITH BARNEY and MORGAN STANLEY & CO. INCORPORATED.
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
NC
08/22/2019 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
SC
05/09/2018 - 08/23/2019
LPL FINANCIAL LLC (FORT MILL SC)
NC
03/05/2010 - 05/02/2018
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
MO
06/01/2009 - 03/09/2010
MORGAN STANLEY SMITH BARNEY (CHESTERFIELD MO)
MO
09/06/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHESTERFIELD MO)
BOTH
Issued 11/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/2017
Series 4 - Registered Options Principal Examination
BC
Issued 02/21/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2017
Series 3 - National Commodity Futures Examination
BC
Issued 09/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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