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SM

Shawn P. Matthews

ZENITH SECURITIES
NORWALK, CT 06854
CRD#: 2016970
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SM
Shawn Peter MatthewsZENITH SECURITIES

Professional summary

Shawn Peter Matthews is a registered financial professional currently at ZENITH SECURITIES LLC located in Norwalk, Connecticut.

Shawn is registered as a RR (Registered Representative) and started their career in finance in 1990. Shawn has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Peter Matthews's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 4, 2026 - Present

ZENITH SECURITIES LLC

Office #1: 85 Washington Street Suite 1f, Norwalk, CT 06854
BD
CRD#: 138135
NORWALK, CT
Past

August 4, 2014 - June 13, 2018

CFWP SECURITIES, LLC

BD
CRD#: 170228
NEW YORK, NY
Past

January 31, 2006 - May 14, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 1, 2002 - December 31, 2005

ALCHEMIST CAPITAL MANAGEMENT LLC

RIA
CRD#: 119319
FAIRFIELD, CT
Past

June 16, 1999 - March 18, 2002

WEST SIDE CAPITAL, LLC

BD
CRD#: 47015
RYE, NY
Past

March 4, 1998 - February 3, 1999

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA
Past

March 20, 1997 - February 16, 1998

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

May 22, 1995 - January 3, 1996

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

March 17, 1993 - August 24, 1994

WESTCAP GOVERNMENT SECURITIES, INC.

BD
CRD#: 19645
Past

March 17, 1993 - April 24, 1995

WESTCAP SECURITIES, L.P.

BD
CRD#: 7301
HOUSTON, TX
Past

July 30, 1990 - February 10, 1993

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/4/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/25/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/5/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZS
ZENITH SECURITIES LLC
HSH N FINANCIAL SECURITIES LLC | ZENITH SECURITIES LLC | ZENITH CAPITAL ADVISORS LLC | MID-SHIP SECURITIES LLC

CRD#: 138135 / SEC#: , 8-67146

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
85 Washington Street Suite 1f, Norwalk, CT 06854
Mailing Address
100 First Stamford Place Suite 330, Stamford, CT 06902
Phone number
(203) 253-5936
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HONDO HOLDINGS LLCMEMBER
ARORA, VRINDAFINOP7784034
BISCHOFF, STEVEN WALLACECEO1401631
WHITE, ALAN THOMASCCO2723669

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.

Company Information

ZENITH SECURITIES LLC

CRD#: 138135Norwalk, CT 06854

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