Individual Firm
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Shannon Lea Day
Shannon Lea Purcell
CRD#: 6556979
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EDWARD JONESCRD#: 250 1140 10TH ST SUITE 103
Bellingham, WA 98225-7050
Bellingham, WA 98225-7050
View By:
12/6/2018
Customer Dispute
Denied
State Registrations
B
Alaska 4/22/2016
B
Oregon 4/26/2021
B
Arizona 5/4/2018
B
Pennsylvania 7/12/2018
B
California 4/22/2016
B
Virginia 12/5/2023
B
Colorado 11/9/2016
B
Washington 11/23/2015
B
Iowa 1/9/2024
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Washington 1/19/2016
B
Minnesota 9/5/2019
B
Wisconsin 12/21/2022
B
Nebraska 12/13/2023
SRO Registrations
B
B
B
B
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Registered with this firm since 1/19/2016
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Registered with this firm since 11/3/2015
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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.
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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.