Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shannon? Claim Your ProfileShannon Kelly is a financial advisor registered with UBS Financial Services Inc.. Shannon has been working in the financial industry since 2011. Shannon is registered with the state of Washington as a Registered Investment Advisor (IA) and as a Broker-Dealer (BC). Shannon has obtained the following licenses and certifications: Series 6, Series 7, Series 63, Series 65 and SIE. Shannon has previous work experience at Key Investment Services LLC and LPL Financial LLC.
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
WA
11/19/2022 - Present
UBS Financial Services Inc. (TACOMA WA)
WA
09/21/2016 - 07/25/2019
KEY INVESTMENT SERVICES LLC (FEDERAL WAY WA)
NY
09/13/2011 - 09/21/2016
LPL FINANCIAL LLC (ROTTERDAM NY)
IA
Issued 11/18/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/26/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2011
Series 6 - Investment Company Products/Variable Contracts 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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