Shannon W. Rast is a seasoned senior compliance consultant with extensive expertise in broker-dealer regulatory filings and registration management. With over 26 years of experience in the financial services industry, Shannon provides strategic compliance support to firms navigating complex regulatory landscapes governed by FINRA, the SEC, and state securities regulators.

At MGL Consulting, LLC, Shannon leads the execution and oversight of critical regulatory processes, including Firm and Agent Registrations, State Notice Filings, FINRA Corporate Finance Filings, and both FINRA New Member and Continuing Membership Applications. He also conducts in-depth compliance reviews of broker-dealers to ensure adherence to federal, state, and self-regulatory organization (SRO) registration requirements.

Shannon is known for his meticulous attention to detail, deep regulatory knowledge, and ability to navigate complex registration and licensing situations. He works closely with clients to develop tailored compliance strategies that align with their business objectives while maintaining full regulatory integrity.

Shannon is recognized and appreciated for his commitment to excellence, responsiveness, problem solving capabilities, and his client-focused service.