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Stephen Shankman

Regions Securities LLC

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About Stephen Shankman

Stephen Shankman is a financial advisor in McLean, Virginia, and is registered with Regions Securities LLC. Stephen has been in the financial industry for over 20 years, and holds Series 7, 79TO, 86, 87, and SIE licenses as well as a Series 63 license. Stephen has prior experience with JEGI LLC, Marlin & Associates Securities LLC, UBS Securities LLC, Natixis Bleichroeder Inc., Carret Securities, LLC, Sanford C. Bernstein & Co., LLC, and Lehman Brothers Inc.

Firm Information

Stephen Shankman is currently registered with Regions Securities LLC. Regions Securities LLC is a Limited Liability Company that was formed on October 12, 2011 and is registered in all 50 states and the District of Columbia. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

137

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Stephen Shankman’s Registration & Firm History

VA

10/02/2023 - Present

Regions Securities LLC (McLean VA)

NY

04/29/2017 - 09/25/2023

JEGI LLC (NEW YORK NY)

NY

06/26/2013 - 01/27/2017

MARLIN & ASSOCIATES SECURITIES LLC (NEW YORK NY)

NY

06/24/2010 - 11/12/2012

UBS SECURITIES LLC (NEW YORK NY)

NY

08/25/2004 - 10/30/2009

NATIXIS BLEICHROEDER INC. (NEW YORK NY)

NY

07/10/2003 - 08/24/2004

CARRET SECURITIES, LLC (NEW YORK NY)

NY

12/07/2000 - 07/29/2002

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

07/17/2000 - 12/07/2000

SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)

NY

03/09/2000 - 06/13/2000

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/28/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/29/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/16/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 12/08/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 03/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Shankman.
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