Shannon Keener has been Trader of CGC Financial Services since October 2018, is not listed as a control person, but directly owns between 5% and 10% of the firm.
CGC Financial Services, LLC is a Lake Oswego, OR firm with $876M under management, 1,151 clients and 5 advisers in one office, as of its August 2026 filing.
No adviser firm registrations are on Shannon Keener’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 15 February 2012 |
| Series 7 | General Securities Representative Examination | 8 April 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Shannon Nicole Keener
- CRD
- 5659128
- Firm
- CGC Financial Services · CRD 155446
- Role
- Trader
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Shannon Keener work?
Shannon Keener has been Trader of CGC Financial Services, LLC since October 2018.
Does Shannon Keener have a current investment-adviser registration?
Shannon Keener has no current investment-adviser or broker registration.
What exams has Shannon Keener passed?
Shannon Keener has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in April 2011. FINRA credited Shannon Keener with the SIE, which began in October 2018.
Is Shannon Keener registered with FINRA?
No. Shannon Keener has no current broker registration.
How can I verify Shannon Keener’s record?
Search CRD 5659128 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shannon Keener’s full registration record.
