Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shannon? Claim Your ProfileShannon James is a financial professional with over 10 years of experience in the industry. Shannon is currently registered with Northwestern Mutual Investment Services, LLC, and is located in Atlanta, GA. Previously, Shannon has worked at Morgan Stanley and E*TRADE Securities LLC. Shannon has a Series 66, Series 63, Series 7 and SIE license.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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2
GA
08/21/2024 - Present
Northwestern Mutual Investment Services, LLC (ATLANTA GA)
GA
02/23/2021 - 03/26/2024
MORGAN STANLEY (Alpharetta GA)
GA
09/08/2014 - 05/14/2019
MORGAN STANLEY (ATLANTA GA)
GA
12/10/2013 - 09/09/2014
E*TRADE SECURITIES LLC (ALPHARETTA GA)
BOTH
Issued 03/20/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/23/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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