Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shannon? Claim Your ProfileShannon Rohrbach is a financial professional with over 15 years of experience in the industry. Shannon is currently registered with Wells Fargo Clearing Services, LLC and has previously worked with First Citizens Investor Services, Inc., LPL Financial LLC, and E*TRADE Securities LLC. Shannon is a Series 7, Series 24, Series 63, Series 99TO, and SIE licensed professional. Shannon provides portfolio management for individuals and businesses as well as financial planning and investment consulting services. Shannon's current office is located at 1525 W WT HARRIS BLVD 5TH FL in Charlotte, NC.
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.
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.
Investment consulting services to institutional clients
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.
1
2
NC
07/14/2023 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
SC
10/28/2022 - 04/11/2023
FIRST CITIZENS INVESTOR SERVICES, INC. (LANCASTER SC)
MO
05/17/2022 - 11/02/2022
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
SC
09/26/2007 - 12/21/2021
LPL FINANCIAL LLC (FORT MILL SC)
NC
09/28/2006 - 09/13/2007
E*TRADE SECURITIES LLC (CHARLOTTE NC)
BC
Issued 11/13/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/04/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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