Shannon Peace, financial advisor Santa Barbara CA

Shannon Peace

CRD Number: 4055663
Current Firm: Charles Schwab & Company, Inc.

Shannon Peace (CRD# 4055663) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Santa Barbara, CA and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab & Company, Inc. Santa Barbara, CA Jul 2018 - Current 5
Charles Schwab Bank Ssb Santa Barbara, CA Jul 2018 - Current 5
Breakaway Capital Management, LLC Santa Barbara, CA Jan 2015 - May 2018 3
Broad Reach Capital Management, Inc. Montecito, CA Nov 2012 - Jan 2018 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2000
S65 NASAA Investment Advisors Law Examination Jan 2011
S66 NASAA Uniform Combined State Law Examination Dec 2018
Disclosure Information

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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Shannon M. Peace
Phone Number: 415-667-7000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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