Shannon Nicole Smith

Employer firm

Pallas Capital Advisors, LLC CRD 310327

$4.31B regulatory AUM

Reported services (Item 5G)

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

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

Current Employers

Pallas Capital Advisors, Llc

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-05-25

MA RA
APPROVED

Since 2021-05-25

Branch Locations

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services, Inc.	Wellesley	MA	07/2007	05/2021
Pallas Capital Advisors, Llc	Braintree	MA	05/2021	Present
Purshe Kaplan Sterling Investments, Inc.	Braintree	MA	05/2021	Present

07/2007 → 05/2021

Ubs Financial Services, Inc.

Wellesley, MA
05/2021 → Present

Pallas Capital Advisors, Llc

Braintree, MA
05/2021 → Present

Purshe Kaplan Sterling Investments, Inc.

Braintree, MA

Previous Registrations

2021-05-19 → 2021-06-01

Ubs Financial Services Inc.

Wellesley, MA

Other Businesses

1) Pallas Capital Advisors; Investment Related; 45 Braintree Hill Office Park, Suite 201, Braintree, MA 02184; Wealth Advisors; Title - Director of Financial Planning & Client Experience; Start - 5/2021; 200 Hrs/Mth; 200 During Trading Hours; Relationship Management & Financial Planning

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-04-24

S66 Uniform Combined State Law Examination

2008-04-24

Designations

Certified Financial Planner

Other Names

Shannon Smith

View on SEC IAPD