James Peter Shannon

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → 01/2024
  Woodbury Financial Services, Inc
  Oak Brook, IL
• 01/2024 → Present
  Osaic Wealth, Inc.
  Burr Ridge, IL

Previous Registrations

• 2010-05-27 → 2024-01-19
  Woodbury Financial Services, Inc.
  Burr Ridge, IL
  Oakbrook Terrace, IL
• 2008-09-17 → 2010-02-25
  Credit Suisse Securities (Usa) Llc
  Chicago, IL
• 2006-08-03 → 2008-09-24
  Lehman Brothers Inc.
  New York, NY
  Chicago, IL

Other Businesses

1) MISERICORDIA HOME; NON INV REL; 6300 N RIDGE CHICAGO, IL; FULFILLING ALL NEEDS:MEDICAL, OCCUPATIONAL BASIC, SPIRITUAL ETC OF MENTALLY DISABLED CHILDREN AND ADULTS; ADVISORY BOARD MEMBER; 10/1/2010; 2HR/MO; 0HR/MO; SHARING RESOURCES AND ADVISING ON ANY MATTERS PERTAINING TO MISERICORDIA'S CHALLENGES, OPPORTUNITIES ETC. AS AN INVESTMENT COMMITTEE MEMBER I WORK WITH THE COMMITTEE AND CONSULTANT REGARDING THE ENDOWMENT SPECIFICALLY ALLOCATION PERFORMANCE RISK ETC. 2) KOSZUT,HYNES & SHANNON WEALTH AND INSURANCE SERVICES; NONINV RELATED; 401 S FRONTAGE RD BURR RIDGE,IL 60527; SELLING NON-SECURITIES RELATED PRODUCTS; OWNER; 03/15/2012; 10HR/MON; 0HR/MON; SELLING NON-SECURITIES RELATED PRODUCTS,LIFE INSURANCE,FIXED ANNUITIES,ETC 3) ABIGAIL F SHANNON TRUST, TESS K SHANNON TRUST, WILLIAM T SHANNON TRUST, JAMES M SHANNON TRUST POSITION: Trustee NATURE: This is a trust account for my child. I am both advisor and co-trustee (the other trustee Kerry Shannon, my sister.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/26/2010 ADDRESS: 401 S Frontage Road, Suite A, Burr Ridge IL 60527, United States DESCRIPTION: Managing investments and transferring funds as needed while also acting prudently and in the best interest of the beneficiary. This is an immediate-family owned trust. 4) KHS WEALTH & INSURANCE POSITION: IAR NATURE: This is my DBA. Koszut, Hynes & Shannon. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/15/2012 ADDRESS: 401 S Frontage Rd Suite A, Burr Ridge IL 60527, United States DESCRIPTION: The purpose of this OBA is to disclose my DBA. Investment Advisor Representative - Helping clients with investment needs, challenges and opportunities. Allocate liquid securitiesas wellalternatives in non-qualified and retirement accounts.

Exams

• S63 Uniform Securities Agent State Law Examination
  2006-10-13
• S65 Uniform Investment Adviser Law Examination
  2006-07-14