Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shannon? Claim Your ProfileShannon Tan is an active Registered Representative and Investment Advisor Representative. Shannon Tan has been in the securities industry since April 6, 2001. Shannon Tan is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been with this firm since August 2005. In the past, Shannon Tan has been employed with J.P. Morgan Securities LLC, First Republic Securities Company, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co., Incorporated and Deutsche Bank Securities Inc. Shannon Tan has licenses for Series 66, SIE, and Series 7.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
05/17/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
09/29/2023 - 05/22/2024
J.P. MORGAN SECURITIES LLC (San Francisco CA)
CA
08/26/2016 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
CA
09/09/2005 - 08/29/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NY
04/30/2004 - 08/17/2005
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
05/30/2001 - 04/29/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BOTH
Issued 2/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/29/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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