Shannon L Richardson

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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

• 05/2018 → 10/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Collins, CO
• 05/2014 → 05/2018
  Community Banks Of Colorado, A Division Of Nbh
  Fort Collins, CO
• 06/2018 → 10/2020
  Bank Of America, N.A.
  Fort Collins, CO
• 10/2020 → 07/2024
  Empower Retirement
  Greenwood Village, CO
• 12/2024 → Present
  Principal Life Insurance Co
  Greeley, CO
• 07/2024 → 11/2024
  Unemployed
  Greeley, CO
• 03/2025 → Present
  Principal Securities Inc
  Denver, CO

Previous Registrations

• 2020-10-14 → 2024-07-23
  Empower Advisory Group, Llc
  Greenwood Village, CO
  Greeley, CO
• 2018-08-24 → 2020-10-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Collins, CO

Exams

• S66 Uniform Combined State Law Examination
  2018-08-23
• S63 Uniform Securities Agent State Law Examination
  2011-07-26

Other Names

• Shannon Lynn Richardson
• Shannon Richardson
• Shannon L Richardson