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SHANNON MARIE CARLSON
SHANNON M CARLSON
CRD#: 2412544
IA
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MORGAN STANLEYCRD#: 149777 4380 Buckeye Lane
Suite 200
Beavercreek, OH 45440
Suite 200
Beavercreek, OH 45440
0
Disclosures
26
Years of Experience
View By:
State Registrations
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Alabama 10/28/2015
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Minnesota 10/28/2015
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Arizona 11/19/2015
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Missouri 12/3/2024
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Arkansas 3/7/2025
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Montana 3/2/2020
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California 10/27/2015
B
New Jersey 11/9/2015
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Colorado 10/29/2015
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New York 10/29/2015
B
Delaware 11/3/2015
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North Carolina 10/27/2015
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District of Columbia 10/28/2015
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Ohio 10/27/2015
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Florida 10/27/2015
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Ohio 10/27/2015
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Georgia 10/28/2015
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Oregon 1/18/2024
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Idaho 2/28/2023
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Pennsylvania 10/28/2015
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Illinois 10/27/2015
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South Carolina 10/28/2015
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Indiana 10/27/2015
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Tennessee 10/29/2015
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Iowa 10/27/2015
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Texas 10/28/2015
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Kentucky 10/27/2015
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Texas 10/29/2015
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Maryland 10/29/2015
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Vermont 10/28/2015
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Massachusetts 1/27/2022
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Virginia 10/27/2015
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Michigan 10/29/2015
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Washington 10/29/2015
SRO Registrations
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Registered with this firm since 10/27/2015
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Registered with this firm since 10/27/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2013 - 10/12/2015 | MIAMISBURG, OH | |
B | 02/13/2013 - 10/12/2015 | MIAMISBURG, OH | |
IA | 10/04/2011 - 02/13/2013 | MIAMISBURG, OH | |
B | 10/03/2011 - 02/13/2013 | MIAMISBURG, OH | |
IA | 01/26/2006 - 10/05/2011 | DAYTON, OH | |
B | 11/29/2005 - 10/05/2011 | DAYTON, OH | |
B | 05/17/2000 - 01/26/2001 | WEEHAWKEN, NJ | |
B | 03/28/1994 - 05/18/2000 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.