Shawn M. Dralle
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 Marie Dralle was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1991. Shawn had worked at 6 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2024 - April 20, 2026
CABRERA CAPITAL MARKETS, LLC
November 18, 2020 - November 20, 2023
UBS SECURITIES LLC
January 18, 2018 - January 31, 2024
UBS FINANCIAL SERVICES INC.
June 6, 2013 - January 3, 2018
J.P. MORGAN SECURITIES LLC
April 16, 2001 - April 11, 2013
RBC CAPITAL MARKETS, LLC
September 30, 1991 - July 7, 1997
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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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