Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shannon? Claim Your ProfileShannon Rose Miller is a financial advisor currently registered with LPL Financial LLC. Shannon has been working in the financial industry since 1993. Prior to joining LPL Financial LLC, Shannon was a financial advisor at WM Financial Services, Inc., Great Western Financial Securities Corporation and ASB Financial Services. Shannon has a wide range of experience in the financial industry and holds a Series 6, Series 7, Series 63, and Series 66 license. Shannon is also a Certified Kennel Club CGC Testing Evaluator.
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.
Consulting and other non-discretionary advisory services
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.
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CA
06/21/2006 - Present
LPL Financial LLC (INDIO CA)
CA
07/14/1997 - 01/06/2006
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
01/22/1998 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
CA
12/16/1993 - 07/14/1997
ASB FINANCIAL SERVICES (IRVINE CA)
BOTH
Issued 06/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1995
Series 7 - General Securities Representative Examination
BC
Issued 12/15/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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