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RIA / WealthAdvisorCertified Financial Planner25 years in industry

SHANNON NICOLE STONE

Advisor at PARALLEL ADVISORS, LLC

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:4a44eb7c-de2b-32e0-6637-e570de6b77a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 13, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PARALLEL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 21, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 21, 2001
First registration: Mar 13, 2002
Dual registered: no
Other names: SHANNON NICOLE SORG|SHANNON NICOLE SPINA
IAPD individual key: 4342338

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PARALLEL ADVISORS, LLC	Independent wealth	Jan 1, 2025	n/a	yes	SAN FRANCISCO, CA	Current employment
GRIFFIN BLACK, LLC	Independent wealth	Mar 30, 2022	Mar 7, 2023	no	REDWOOD CITY, CA\|DISCOVERY BAY, CA	Previous registration
DHR INVESTMENT COUNSEL LTD	Former SEC adviser	Apr 8, 2015	Feb 16, 2022	no	OAKLAND, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 8, 2007	Nov 5, 2009	no	WALNUT CREEK, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 8, 2006	Sep 25, 2006	no	MODESTO, CA	Previous registration
ALAMO CAPITAL	Independent wealth	Mar 13, 2002	Mar 20, 2006	no	WALNUT CREEK, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GRIFFIN BLACK, LLC	PARALLEL ADVISORS, LLC	Mar 7, 2023	Jan 1, 2025	666	Firm change after gap	RIA to RIA
DHR INVESTMENT COUNSEL LTD	GRIFFIN BLACK, LLC	Feb 16, 2022	Mar 30, 2022	42	Firm change	RIA to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	DHR INVESTMENT COUNSEL LTD	Nov 5, 2009	Apr 8, 2015	1,980	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 25, 2006	Oct 8, 2007	378	Firm change	Other
ALAMO CAPITAL	CITIGROUP GLOBAL MARKETS INC.	Mar 20, 2006	Mar 8, 2006	-12	Firm change	Other

Relationships

Registered with (6)

→ PARALLEL ADVISORS, LLCRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ GRIFFIN BLACK, LLCRegistered adviserregistration: previous registration
Mar 30, 2022 to Mar 7, 2023factForm ADV
→ DHR INVESTMENT COUNSEL LTDRegistered adviserregistration: previous registration
Apr 8, 2015 to Feb 16, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 8, 2007 to Nov 5, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 8, 2006 to Sep 25, 2006factForm ADV
→ ALAMO CAPITALRegistered adviserregistration: previous registration
Mar 13, 2002 to Mar 20, 2006factForm ADV

Dated events

Occurred
Mar 7, 2023
Advisor changed firm
Shannon Nicole Stone left Griffin Black, Llc for Parallel Advisors, Llc (registered 2025-01-01)
Form ADVobserved 5 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Shannon Nicole Stone left Dhr Investment Counsel Ltd for Griffin Black, Llc (registered 2022-03-30)
Form ADVobserved 5 days ago