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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shannon? Claim Your ProfileShannon Marie Soto is a financial advisor with Morgan Stanley. Shannon has been in the securities industry since May 19, 2007 and has been registered with Morgan Stanley since June 2009. Shannon holds the following licenses: Series 3, Series 6, Series 7, Series 9, Series 10, Series 31, Series 63, and Series 66. Shannon also has registrations in 51 states and 2 Investment Advisor states. Shannon specializes in providing financial advice to a variety of clients, including individuals, high-net-worth individuals, corporations, and other businesses, insurance companies, pension and profit-sharing plans, charitable organizations, state or municipal government entities, and investment companies. Shannon's experience and qualifications make her a valuable resource for clients seeking financial advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AZ
09/12/2011 - Present
Morgan Stanley (Tucson AZ)
AZ
02/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TUCSON AZ)
AZ
02/22/2007 - 06/29/2007
NYLIFE SECURITIES LLC (TUCSON AZ)
AZ
08/30/2006 - 01/22/2007
FIRST COMMAND FINANCIAL PLANNING, INC. (TUCSON AZ)
BOTH
Issued 10/10/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/06/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2010
Series 3 - National Commodity Futures Examination
BC
Issued 03/10/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 02/15/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/29/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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