Shannon Dale Smith

Current Employers

Employment History

• 10/2002 → 03/2017
  Metlife Securities
  Birmingham, AL
• 03/2017 → 05/2018
  Mml Investors Services, Llc
  Huntsville, AL
• 07/2016 → 05/2018
  Massachusetts Mutual Life Insurance Company
  Huntsville, AL
• 05/2018 → 05/2021
  Securian Financial Services Inc
  St. Paul, MN
• 05/2018 → 05/2021
  Minnesota Life Insurance Co
  St. Paul, MN
• 05/2018 → 05/2021
  Wealth Managemane Group
  Birmingham, AL
• 06/2021 → 09/2023
  Sagepoint Financial
  Florence, AL
• 09/2023 → Present
  Osaic Wealth, Inc.
  Florence, AL

Previous Registrations

• 2021-06-17 → 2023-09-01
  Osaic Services, Inc.
  Florence, AL
  Florence, AL
  Scottsdale, AZ
• 2018-05-18 → 2021-06-23
  Securian Financial Services, Inc.
  Florence, AL
  Florence, AL
  Birmingham, AL
  Huntsville, AL
• 2017-03-25 → 2018-05-16
  Mml Investors Services, Llc
  Huntsville, AL
  Vestavia, AL
  Florence, AL
• 2012-05-15 → 2017-03-25
  Msi Financial Services, Inc.
  Florence, AL
  Birmingham, AL
  Birmingham, AL
  Huntsville, AL
  Birmingham, AL

Other Businesses

1. LEGACY CAPITAL ADVISORS POSITION: Independent Contractor NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2018 ADDRESS: , Florence AL , United States DESCRIPTION: Independent Contractor 2. MHS PROPERTIES LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2013 ADDRESS: , Florence AL , United States DESCRIPTION: Owner 3. FIXED INSURANCE POSITION: Agent/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2018 ADDRESS: , Birmingham AL , United States DESCRIPTION: Agent/Broker 4. LEGACY CAPITAL ADVISORS POSITION: Independent Contractor NATURE: Legacy Capital Advisors is a LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/01/2018 ADDRESS: 1212 Helton Dr, Suite A, Florence AL 35630, United States DESCRIPTION: Registered Investment Advisor 5. MHS PROPERTIES LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2014 ADDRESS: 3650 Colburn Mill Rd, Russellville AL 35634, United States DESCRIPTION: Owner and Operator of MHS Properties LLC 6. CONCOURSE FINANCIAL GROUP POSITION: Independent Contractor NATURE: Insurance Broker INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 05/01/2018 ADDRESS: 2801 US 280 S, Birmingham AL 35223, United States DESCRIPTION: Insurance Broker. Concourse Financial-Alabama Agency 2801 US-280 Birmingham, AL 35223Insurance: Fixed Products: Life, Annuities, LTC Disability 2. FIXED INSURANCE POSITION: Agent/Broker. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2018 ADDRESS: , Birmingham AL , United States DESCRIPTION: Agent/Broker 3. LEGACY CAPITAL ADVISORS POSITION: Independent Contractor NATURE: Legacy Capital Advisors is a LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/01/2018 ADDRESS: 1212 Helton Dr, Suite A, Florence AL 35630, United States DESCRIPTION: Registered Investment Advisor 4. MHS PROPERTIES LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2014 ADDRESS: 3650 Colburn Mill Rd, Russellville AL 35634, United States DESCRIPTION: Owner and Operator of MHS Properties LLC 5. INSURANCE SALES AND RENEWALS POSITION: AGENT NATURE: THIS IS FOR INSURANCE SALES AND RENEWALS INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2018 ADDRESS: 1212 Helton Drive Suite A, Florence AL 35630, United States DESCRIPTION: I GET RENEWALS FROM MASS MUTUAL. 6. SMITH PRIVATE WEALTH LLC POSITION: tax NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 1212 Helton Drive Suite A, Florence AL 35630, United States DESCRIPTION: The purpose of this LLC/ corporation is for tax purposes. It is to allow my earnings to be taxed at a dividend rate of a corporation instead filing all my income on my FICA.

Exams

• S66 Uniform Combined State Law Examination
  2012-04-24
• S63 Uniform Securities Agent State Law Examination
  2003-09-11