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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 Nichole Ingraham is a financial advisor with UBS Financial Services Inc. Shannon has been in the industry for 28 years. Shannon specializes in providing financial planning, investment management, and pension consulting services to a wide range of clients, including individuals, families, businesses, and charitable organizations. Shannon has a strong track record of success in helping clients achieve their financial goals. Prior to joining UBS, Shannon worked with RBC Capital Markets, LLC, Salt Creek Securities, LLC, Crowell, Weedon & Co., Roth Capital Partners, Inc., and Texas Capital Securities, Inc. Shannon holds Series 7, 55, 63, and 66 securities licenses. Shannon is registered in Colorado as both a Broker-Dealer and Investment Advisor Representative.
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.
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.
See schedule d - miscellaneous
1
2
CO
01/09/2013 - Present
UBS Financial Services Inc. (FORT COLLINS CO)
CO
08/27/2007 - 07/12/2012
RBC CAPITAL MARKETS, LLC (FORT COLLINS CO)
CA
08/24/2007 - 09/04/2007
SALT CREEK SECURITIES, LLC (LAGUNA BEACH CA)
CA
09/29/2000 - 06/08/2005
CROWELL, WEEDON & CO. (LOS ANGELES CA)
CA
09/25/1995 - 09/22/2000
ROTH CAPITAL PARTNERS, INC. (NEWPORT BEACH CA)
TX
11/30/1994 - 07/20/1995
TEXAS CAPITAL SECURITIES, INC. (HOUSTON TX)
CA
05/13/1992 - 11/01/1994
CRUTTENDEN & CO., INC. (NEWPORT BEACH CA)
BOTH
Issued 01/08/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/11/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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