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James Edward Shannon

Shannon Investment Management

Falmouth, MA

CRD 6111270

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Employer firm

Shannon Investment Management CRD 174100

$14.4M regulatory AUM 15 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)

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

Current Employers
Shannon Investment Management

Falmouth, MA • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2015-01-22
  • MA RA
    APPROVED
    Since 2015-01-22

Branch Locations

Falmouth, MA • 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
OrganizationCityStateFromTo
Social Finance, Inc. San Francisco CA 08/2012 Present
Sofi Securities Llc New York NY 08/2012 Present
  • 08/2012 → Present
    Social Finance, Inc.
    San Francisco, CA
  • 08/2012 → Present
    Sofi Securities Llc
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-09-05
  • S63 Uniform Securities Agent State Law Examination
    2012-09-05
Designations
  • Chartered Financial Analyst
Other Names
  • Jim Shannon
  • James Shannon

View on SEC IAPD

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