Shannon Chase, financial advisor Traverse City MI
77 score

Shannon Chase

CRD Number: 6250258
Current Firm: Morgan Stanley

Shannon Chase (CRD# 6250258) is an Investment Advisor Representative working at Morgan Stanley in Traverse City, MI and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney LLC Traverse City, MI Sep 2013 - Current 3
Bikram Yoga Las Vegas Las Vegas, NV Jun 2013 - Sep 2013 < 1
Millennium Consulting Group Las Vegas, NV Jan 2013 - Aug 2013 < 1
Unemployed Las Vegas, NV Sep 2012 - Dec 2012 < 1
Bikram Yoga Traverse City Traverse City, MI Jul 2010 - Sep 2012 2
Red Ginger Traverse City, MI Jan 2011 - Feb 2012 1
Children's Plus, Inc. Colorado Springs, CO Aug 2009 - Jun 2010 < 1
Pitney Bowes Colorado Springs, CO Oct 2008 - Aug 2009 < 1
Follett Library Resources Las Vegas, NV Jun 2005 - Sep 2008 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2013
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, 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
Get Details on the FINRA Advisor Check site
Contact Info for Shannon D. Chase
Phone Number: 914-225-5510
Registered State(s):
  • MI
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
  • 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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
77

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