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

Shawna D Norris

Janney Montgomery Scott LLCBD affiliatedCharlotte, Ncdual registrantIAPD 3165588

Feed of 09/14/2026

Also filed as Shawna Diane Norris

At current firm

1 y

since May 14, 2025

In the industry

24 y

since Nov 13, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Janney Montgomery Scott LLC BD affiliated current
since May 14, 2025 · Charlotte, Nc
Choreo, LLC independent RIA
Oct 2, 2024 to Feb 10, 2025 · Charlotte, Nc
Morgan Stanley wirehouse
Nov 16, 2023 to Jan 23, 2024 · Charlotte, Nc
Raymond James Financial Services Advisors, Inc BD affiliated
Sep 17, 2013 to Sep 15, 2023 · Huntersville, Nc
Morgan Stanley wirehouse
Jun 1, 2009 to Jul 17, 2013 · Salt Lake City, Ut
Citigroup Global Markets Inc. BD affiliated
Nov 27, 2007 to Jun 1, 2009 · Salt Lake City, Ut
Citigroup Global Markets Inc. BD affiliated
Oct 31, 2006 to Oct 12, 2007 · Cornelius, Nc
Morgan Stanley Dw Inc. unclassified
Feb 15, 2002 to Aug 28, 2006 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

Choreo, LLC to Janney Montgomery Scott LLC
left Feb 10, 2025, registered May 14, 2025 (93 days) · RIA to affiliated broker-dealer or bank
Morgan Stanley to Choreo, LLC
left Jan 23, 2024, registered Oct 2, 2024 (253 days) · Wirehouse to independent RIA
Raymond James Financial Services Advisors, Inc to Morgan Stanley
left Sep 15, 2023, registered Nov 16, 2023 (62 days) · Affiliated broker-dealer or bank to wirehouse
Morgan Stanley to Raymond James Financial Services Advisors, Inc
left Jul 17, 2013, registered Sep 17, 2013 (62 days) · Other
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Morgan Stanley Dw Inc. to Citigroup Global Markets Inc.
left Aug 28, 2006, registered Oct 31, 2006 (64 days) · Other

Signals

Shawna D Norris left Choreo, Llc for Janney Montgomery Scott Llc (registered 2025-05-14)
Feb 10, 2025 · Advisor changed firm · fact
Shawna D Norris left Morgan Stanley for Choreo, Llc (registered 2024-10-02)
Jan 23, 2024 · Advisor changed firm · fact
Shawna D Norris left Raymond James Financial Services Advisors, Inc for Morgan Stanley (registered 2023-11-16)
Sep 15, 2023 · Advisor changed firm · fact

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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address