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Shannon Lee Beck

Morgan Stanley

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About Shannon Lee Beck

Shannon Lee Beck is an investment advisor representative with Morgan Stanley. Shannon has been in the industry since 1994. Shannon has passed the Series 7, 9, 10, 63, 65, 99TO, and SIE exams. Shannon is registered with the Financial Industry Regulatory Authority (FINRA) and in 53 states, including Texas and Washington. Shannon has previously worked with Oppenheimer & Co. Inc., NYLIFE Securities LLC, Citigroup Global Markets Inc., RBC Capital Markets Corporation, U.S. Bancorp Piper Jaffray Inc., Smith Barney Inc., and Lehman Brothers Inc. Shannon also works as a jewelry and home furnishings designer and manufacturer, and spends about 15 hours a month on this business.

Firm Information

Shannon Beck is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Shannon Beck’s Registration & Firm History

WA

04/19/2023 - Present

Morgan Stanley (Bellevue WA)

WA

10/16/2019 - 03/24/2023

OPPENHEIMER & CO. INC. (BELLEVUE WA)

OR

05/30/2019 - 06/26/2019

NYLIFE SECURITIES LLC (PORTLAND OR)

OR

06/01/2009 - 08/27/2018

MORGAN STANLEY (SALEM OR)

OR

09/04/2008 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (SALEM OR)

OR

06/20/2001 - 09/11/2008

RBC CAPITAL MARKETS CORPORATION (PORTLAND OR)

MN

08/19/1994 - 07/10/2001

U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)

NY

07/31/1993 - 09/01/1994

SMITH BARNEY INC. (NEW YORK NY)

NY

02/10/1993 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/27/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/11/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/15/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/11/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 08/27/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/08/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Shannon Lee Beck.
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