DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Shannon J Bauer
Feed of 09/14/2026
Also filed as Shannon Jo Laughlin
At current firm
6 y
since Jan 28, 2020
In the industry
16 y
since Sep 10, 2010 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Jan 28, 2020 · Mansfield, Oh
- Fifth Third Securities, Inc. BD affiliatedSep 7, 2016 to Dec 6, 2019 · Westerville, Oh
- Wesbanco Securities, Inc. BD affiliatedOct 30, 2015 to May 9, 2016 · Columbus, Oh
- Fifth Third Securities, Inc. BD affiliatedJun 18, 2014 to Oct 19, 2015 · Columbus, Oh
- Pnc Wealth Management BD affiliatedMay 30, 2013 to Jun 19, 2014 · Columbus, Oh
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to May 21, 2013 · Mansfield, Oh
- Chase Investment Services Corp. formerMay 16, 2012 to Oct 1, 2012 · Mansfield, Oh
Moves
a registration end followed by a registration begin elsewhere
- Fifth Third Securities, Inc. to J.P. Morgan Securities LLCleft Dec 6, 2019, registered Jan 28, 2020 (53 days) · Affiliated broker-dealer or bank to wirehouse
- Wesbanco Securities, Inc. to Fifth Third Securities, Inc.left May 9, 2016, registered Sep 7, 2016 (121 days) · Other
- Fifth Third Securities, Inc. to Wesbanco Securities, Inc.left Oct 19, 2015, registered Oct 30, 2015 (11 days) · Other
- Pnc Wealth Management to Fifth Third Securities, Inc.left Jun 19, 2014, registered Jun 18, 2014 (-1 days) · Other
- J.P. Morgan Securities LLC to Pnc Wealth Managementleft May 21, 2013, registered May 30, 2013 (9 days) · Other
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address