William J. Shimanek
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.
William James Shimanek was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 16 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 12, Series 14, Series 53, 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 24, 2021 - July 31, 2023
HARDCASTLE TRADING USA L.L.C.
November 10, 2020 - June 4, 2025
BRUCE MARKETS LLC
May 2, 2014 - June 13, 2019
DOUGH LLC
January 23, 2014 - July 3, 2014
PEAK6 PERFORMANCE MANAGEMENT LLC
January 23, 2014 - June 4, 2025
PEAK6 CAPITAL MANAGEMENT LLC
January 10, 2011 - April 1, 2011
EQUITEC STRUCTURED PRODUCTS,LLC
January 10, 2011 - January 9, 2014
EQUITEC TRADING, LLC
April 20, 2007 - January 3, 2014
SPHINX TRADING, LP
March 8, 2007 - October 14, 2010
COMPASS PROFESSIONAL SERVICES EAST, LLC
January 3, 2007 - July 26, 2007
EQUITEC NEW YORK, LLC
July 1, 2005 - January 3, 2014
RQD* CLEARING, LLC
October 15, 2003 - February 28, 2013
EQUITEC SPECIALISTS, LLC
October 15, 2003 - January 9, 2014
EQUITEC PROPRIETARY MARKETS, LLC
January 5, 1999 - December 14, 2007
CASTLEWOOD SECURITIES, L.L.C.
September 4, 1996 - November 24, 1998
DEEPHAVEN MARKET NEUTRAL TRADING LIMITED
September 20, 1988 - December 20, 1994
KESSLER ASHER CLEARING L.P.
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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamSeries 12
Date: 6/27/1991
NYSE Branch Manager ExaminationCurrent Firm
HARDCASTLE TRADING USA L.L.C.
CRD#: 126497 / SEC#: , 8-65889
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK 6 HC HOLDINGS LLC | MEMBER | |
| SHIMANEK, WILLIAM JAMES | CCO | 1713029 |
Disclosures
| Regulatory Event | 3 |
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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