Howard Shipman
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.
Howard Shipman, who also goes by Howard Thani Shipman, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 2010. Howard had worked at 4 firms and has passed the Series 63, SIE, Series 57, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2023 - June 3, 2024
DV EQUITIES
August 12, 2021 - January 6, 2023
STONEX FINANCIAL INC.
August 29, 2017 - March 8, 2018
HAP TRADING, LLC
January 1, 2010 - July 14, 2014
CREDIT SUISSE SECURITIES (USA) LLC
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 55
Date: 8/12/2010
Limited Representative-Equity Trader ExamCurrent Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
