James Chris Shannon

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1986 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tulsa, OK
• 12/2009 → Present
  Bank Of America, Na
  Tulsa, OK

Other Businesses

I*2823277 Entity Type: N/A Name of OBA: Shannon Family Living Trust Address:Norman Oklahoma Investment Related:No Position, Title, Association:Co-Trustee Start Date:07/02/2022 No Hours: 1 Weekly No Hours during trading:0 Duties:Co-Trustee for Spouse

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-09-21
• S63 Uniform Securities Agent State Law Examination
  1986-10-09

Other Names

• Chris Shannon
• Chris Shannon