Shawn D. Mcloughlin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shawn Damien Mcloughlin was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1987. Shawn had worked at 11 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2017 - February 1, 2021
SUNRISE BROKERS LLC
January 18, 2013 - February 1, 2021
MINT BROKERS
February 15, 2012 - February 1, 2021
BGC FINANCIAL, L.P.
June 22, 2009 - February 2, 2012
TICONDEROGA SECURITIES LLC
July 17, 2007 - January 29, 2009
CANACCORD GENUITY SECURITIES LLC
May 2, 2006 - October 3, 2006
PREBON FINANCIAL PRODUCTS INC.
March 30, 2005 - January 15, 2008
COLLINS STEWART INC.
April 11, 2000 - February 15, 2002
COLLINS STEWART (SECURITIES) INC.
November 4, 1999 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
July 2, 1999 - September 5, 2006
TULLETT LIBERTY BROKERAGE INC.
June 25, 1991 - May 4, 1993
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - June 27, 1991
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 6/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
SUNRISE BROKERS LLC
CRD#: 151012 / SEC#: , 8-68325
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SBL SUNRISE BROKERS LIMITED | MEMBER | |
| BGC PARTNERS, L.P. | MANAGING MEMBER | |
| AUBIN, JEAN PIERRE | CHIEF EXECUTIVE OFFICER | 5596046 |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4424156 |
| IATAURO, KRISTI LYNN | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4280146 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER & SECRETARY | 2380166 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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