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Dana Shannon Unverferth

Morgan Stanley

Phoenix, AZ

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-02-14
AZ RA APPROVED 2022-02-03
  • TX RA
    APPROVED
    Since 2022-02-14
  • AZ RA
    APPROVED
    Since 2022-02-03

Branch Locations

2398 E Camelback Rd, Phoenix, AZ 85016 • 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
State Farm Peoria AZ 07/2013 06/2017
Strategic Tax Planning Peoria AZ 06/2017 04/2018
Oppenheimer & Co. Inc. Scottsdale AZ 04/2018 01/2022
Morgan Stanley Smith Barney Llc Phoenix AZ 01/2022 Present
  • 07/2013 → 06/2017
    State Farm
    Peoria, AZ
  • 06/2017 → 04/2018
    Strategic Tax Planning
    Peoria, AZ
  • 04/2018 → 01/2022
    Oppenheimer & Co. Inc.
    Scottsdale, AZ
  • 01/2022 → Present
    Morgan Stanley Smith Barney Llc
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-27
S63 Uniform Securities Agent State Law Examination 2021-04-17
  • S66 Uniform Combined State Law Examination
    2021-05-27
  • S63 Uniform Securities Agent State Law Examination
    2021-04-17
Other Names
  • Dana Shannon Mccarthy
  • Dana Shannon Shanks

View on SEC IAPD

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