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Shannon S Tan
SHANNON TAN, Shannon Shao Na Tan
CRD#: 4254353
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
PBIG - SAN FRANCISCO
SAN FRANCISCO, CA 94104
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2004 (2 years)2 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2016 (10 years)2 FIRMS2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - 2024 (<1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2016 - 2023 (7 years)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2016 - 2024 (7 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2024 - 2024 (<1 year)
License(s)

State Registrations

B
Alabama 5/17/2024

B
Nebraska 5/17/2024

B
Alaska 5/17/2024

B
Nevada 5/17/2024

B
Arizona 5/17/2024

B
New Hampshire 5/17/2024

B
Arkansas 5/17/2024

B
New Jersey 5/17/2024

B
California 5/17/2024

B
New Mexico 5/17/2024

IA
California 5/17/2024

B
New York 5/17/2024

B
Colorado 5/17/2024

B
North Carolina 5/17/2024

B
Connecticut 5/17/2024

B
North Dakota 5/17/2024

B
Delaware 5/17/2024

B
Ohio 5/17/2024

B
District of Columbia 5/17/2024

B
Oklahoma 5/17/2024

B
Florida 5/17/2024

B
Oregon 5/17/2024

B
Georgia 5/17/2024

B
Pennsylvania 5/17/2024

B
Hawaii 5/17/2024

B
Puerto Rico 5/17/2024

B
Idaho 5/17/2024

B
Rhode Island 5/17/2024

B
Illinois 5/17/2024

B
South Carolina 5/17/2024

B
Indiana 5/17/2024

B
South Dakota 5/17/2024

B
Iowa 5/17/2024

B
Tennessee 5/17/2024

B
Kansas 5/17/2024

B
Texas 5/17/2024

B
Kentucky 5/17/2024

IA
Texas 5/17/2024

B
Louisiana 5/17/2024

B
Utah 5/17/2024

B
Maine 5/17/2024

B
Vermont 5/17/2024

B
Maryland 5/17/2024

B
Virgin Islands 5/17/2024

B
Massachusetts 5/17/2024

B
Virginia 5/17/2024

B
Michigan 5/17/2024

B
Washington 5/17/2024

B
Minnesota 5/17/2024

B
West Virginia 5/17/2024

B
Mississippi 5/17/2024

B
Wisconsin 5/17/2024

B
Missouri 5/17/2024

B
Wyoming 5/17/2024

B
Montana 5/17/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
Registered with this firm since 5/17/2024

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
Registered with this firm since 5/17/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/26/2016 - 05/23/2024 J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559) SAN FRANCISCO, CA
IA
03/08/2024 - 05/22/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) San Francisco, CA
B
09/29/2023 - 05/22/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) San Francisco, CA
B
08/26/2016 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) SAN FRANCISCO, CA
IA
09/09/2005 - 08/29/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
B
09/09/2005 - 08/29/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
IA
04/30/2004 - 08/17/2005 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
B
04/30/2004 - 08/17/2005 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NEW YORK, NY
IA
03/16/2001 - 04/29/2004 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) SAN FRANCISCO, CA
B
05/30/2001 - 04/29/2004 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
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.