Shannon Dubuisson

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-07-01

CA RA
APPROVED

Since 2024-07-01

Branch Locations

5757 Pacific Ave Suite 248, Stockton, CA 95207 • 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
B&A Financial Inc.	El Segundo	CA	05/2026	Present
Wells Fargo Advisors Llc	Lodi	CA	07/2016	11/2016
Wells Fargo Bank, Na	Lodi	CA	06/2016	08/2017
Wells Fargo Clearing Services, Llc	Lodi	CA	11/2016	08/2017
Wells Fargo Clearing Services, Llc	Stockton	CA	08/2017	06/2024
Cetera Wealth Services, Llc	El Segundo	CA	07/2024	Present
Cetera Investment Advisers Llc	Schaumburg	IL	07/2024	Present
Poppy Wealth Management	Lodi	CA	07/2024	04/2026
Valley Financial Services	El Segundo	CA	05/2026	Present

05/2026 → Present

B&A Financial Inc.

El Segundo, CA
07/2016 → 11/2016

Wells Fargo Advisors Llc

Lodi, CA
06/2016 → 08/2017

Wells Fargo Bank, Na

Lodi, CA
11/2016 → 08/2017

Wells Fargo Clearing Services, Llc

Lodi, CA
08/2017 → 06/2024

Wells Fargo Clearing Services, Llc

Stockton, CA
07/2024 → Present

Cetera Wealth Services, Llc

El Segundo, CA
07/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
07/2024 → 04/2026

Poppy Wealth Management

Lodi, CA
05/2026 → Present

Valley Financial Services

El Segundo, CA

Previous Registrations

2017-10-03 → 2024-07-11

Wells Fargo Clearing Services, Llc

Lodi, CA

Sacramento, CA

Stockton, CA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2009 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: B&A FINANCIAL INC. DBA VALLEY FINANCIAL SERVICES INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-03
S63	Uniform Securities Agent State Law Examination	2011-06-16

S66 Uniform Combined State Law Examination

2017-10-03
S63 Uniform Securities Agent State Law Examination

2011-06-16

Other Names

Shannon R Riggins
Shannon Riggins
Shannon Roseann Riggins
Shannon Riggins Dubuisson

View on SEC IAPD