John C. Shiao
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.
John Chunyang Shiao was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2002 - June 2, 2003
LION'S GROUP TRADING LLC
March 11, 1998 - November 2, 1998
COASTAL SECURITIES, INC.
January 29, 1998 - February 24, 1998
COMVEST PARTNERS, INC.
September 28, 1993 - February 16, 1996
AMERIPRISE ADVISOR SERVICES, INC.
August 23, 1991 - February 3, 1993
SUTRO & CO. INCORPORATED
May 6, 1991 - July 12, 1991
CHATFIELD DEAN & CO., INC.
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: 9/18/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 3/24/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LION'S GROUP TRADING LLC
CRD#: 113642 / SEC#: , 8-53336
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPIRE GOLOBAL HOLDINGS LLC | 100% OWNER/MEMBER | |
| PERRAULT, DAVID ALBERT | GENERAL SECURITIES PRINCIPAL & DIRECTOR | 2929952 |
| PODIALIOUK, SERGUEI | PROPRIETARY TRADER | 2973704 |
| CHANG, STEPHEN PING | PROPRIETARY TRADER | 2982251 |
| TSEPELMAN, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL | 2955097 |
| BOES, JAMES ERIC | PROPRIETARY TRADER | 4510301 |
| BOGATIN, GARY | PROPRIETARY TRADER | 3200223 |
| BURROUGHS, SELBY MICHAEL | PROPRIETARY TRADER | 3148997 |
| CHERY, GARRY | GENERAL SECURITIES PRINCIPAL | 2574571 |
| CORREA, LAURA REBECCA | GENERAL SECURITIES PRINCIPAL & MASSACHUSETTS B.O.M. | 4053509 |
| ESPINOSA, KEITH | GENERAL SECURITIES PRINCIPAL | 2992627 |
| EVANS, LUCAS PAUL | INVESTOR | 4514076 |
| FOLEY, CHRISTOPHER KEVITT | PROPRIETARY TRADER | 2690955 |
| FORENZA, RENATO ROBERT | PROPRIETARY TRADER | 4514073 |
| FREEMAN, PIERRE | PROPRIETARY TRADER | 4004594 |
| FRITZ, ALEX STUART | INVESTOR | 4219045 |
| GANGEMI, CHRISTOPHER JOHN | GENERAL SECURITIES PRINCIPAL/BRANCH OFFICE MANAGER | 2824666 |
| HADDOCK, RAPHAEL PUMPELLY | INVESTOR | 1849311 |
| HAN, JEE HYUNG | PROPRIETARY TRADER | 3233483 |
| HAWKINS, CHRISTOPHER RYAN | PROPRIETARY TRADER | 3121194 |
| HOOPER, ELISABETH | INVESTOR | |
| HOOPER, TIMOTHY JOHN | INVESTOR | |
| JAMGOCIAN, ALEK EMANUEL | PROPRIETARY TRADER | 3250937 |
| JOHNSON, ROBERT LEE JR | GENERAL SECURITIES PRINCIPAL | 2802015 |
| KALED, GREGORY MICHAEL | PROPRIETARY TRADER | 4219065 |
| KANG, HAROLD | PROPRIETARY TRADER | 3195930 |
| KHOLODOVSKY, ANATOLY | GENERAL SECURITIES PRINCIPAL | 2936826 |
| LAROUI, ISAM | PROPRIETARY TRADER | 2823190 |
| LEE, DONGHO | PROPRIETARY TRADER | 3044850 |
| LEE, JENNIFER | PROPRIETARY TRADER/BRANCH OFFICE MANAGER | 4498566 |
| LIVINGSTON, BRIAN JAY | GENERAL SECURITIES PRINCIPAL/BRANCH OFFICE MANAGER | 1920914 |
| LOREDO, ROBERTO RAMON | PROPRIETARY TRADER | 2492509 |
| LUCENTI, JOSEPH GENE | GENERAL SECURITIES PRINCIPAL | 2894370 |
| MANZO, MARK THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 1229739 |
| MONTERO, MARIANO | PROPRIETARY TRADER | 2945566 |
| MONTEROSSO, PATRICIA NAN | GENERAL SECURITIES PRINCIPAL | 4023969 |
| NENASHEV, ALEKSEY | PROPRIETARY TRADER | 4233578 |
| PERRAULT FAMILY, LTD | INVESTOR | |
| PERRAULT, CHARLES | INVESTOR | |
| PERRAULT, JEAN GILES | PROPRIETARY TRADER | 4198277 |
| PESSIN, NORMAN HERBERT | INVESTOR | |
| RICH, JEFFREY STUART | PROPRIETARY TRADER | 4152452 |
| SAJEDUZZAMAN, MICKEY | PROPRIETARY TRADER | 3159308 |
| SHEFFIELD, DAVID LAWRENCE | PROPRIETARY TRADER | 2468359 |
| TAYLOR, BENJAMIN MAX | PROPRIETARY TRADER | 3257803 |
| TSAI, ANTHONY RICHARD | PROPRIETARY TRADER | 2787082 |
| TSAI, HUBERT RICHARD | PROPRIETARY TRADER | 2766687 |
| UNGAR, ROBERT HARRY | GENERAL SECURITIES PRINCIPAL | 3011680 |
| VONGXAIBURANA, VEERACHAI | PROPRIETARY TRADER | 2793946 |
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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