Shannon MountainCRD Number: 3061354
Current Firm: Ubs Financial Services Inc.
Shannon Mountain (CRD# 3061354) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Las Vegas, NV and has over 18 years of experience in the finance industry.
Kingsbridge Wealth Management, Inc.
Hornor, Townsend & Kent, Inc.
Cathay Consultants Ltd.
|Ubs Financial Services Inc.||Las Vegas, NV||Apr 2011 - Current||5|
|Wachovia Securities, LLC||Phoenix, AZ||Feb 2009 - Jan 2011||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Las Vegas, NV||Jun 1996 - Feb 2009||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1998|
|S65||NASAA Investment Advisors Law Examination||Apr 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV