Individual Firm
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Shannon Lea Fowler
SHANNON LEA FOWLER, Shannon Fowler
CRD#: 5486347
IA
B
OSAIC WEALTH, INC.CRD#: 23131 OGDEN, UT
0
Disclosures
14
Years of Experience
View By:
State Registrations
B
California 9/1/2023
B
New Mexico 9/1/2023
B
Colorado 9/1/2023
B
New York 9/1/2023
B
Florida 9/1/2023
B
North Carolina 3/18/2024
B
Louisiana 1/31/2024
B
Tennessee 3/5/2024
B
Massachusetts 9/1/2023
B
Texas 9/1/2023
B
Minnesota 11/1/2024
IA
Texas 9/26/2024
B
Missouri 9/1/2023
B
Utah 9/1/2023
B
Nevada 1/13/2025
IA
Utah 9/1/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2023 - 09/01/2023 | PLEASANT VIEW, UT | |
B | 03/31/2023 - 09/01/2023 | PLEASANT VIEW, UT | |
IA | 11/12/2021 - 04/11/2023 | Ogden, UT | |
B | 11/04/2021 - 04/11/2023 | Ogden, UT | |
IA | 03/09/2020 - 05/12/2021 | GREENWOOD VILLAGE, CO | |
B | 03/09/2020 - 05/12/2021 | GREENWOOD VILLAGE, CO | |
IA | 08/01/2019 - 02/19/2020 | BOULDER, CO | |
B | 08/01/2019 - 02/19/2020 | BOULDER, CO | |
IA | 05/25/2016 - 07/10/2019 | BOULDER, CO | |
B | 05/04/2016 - 07/10/2019 | BOULDER, CO | |
IA | 03/07/2012 - 03/09/2015 | CHESTERFIELD, MO | |
B | 03/07/2012 - 03/09/2015 | CHESTERFIELD, MO | |
IA | 08/08/2011 - 02/13/2012 | OVERLAND PARK, KS | |
B | 10/05/2009 - 02/13/2012 | OVERLAND PARK, KS | |
B | 05/21/2009 - 10/05/2009 | CLAYTON, MO | |
B | 08/28/2008 - 03/16/2009 | SUNSET HILLS, MO |
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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.