John Chunyang Shiao
Professional Summary
John Chunyang Shiao was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1991 - 2003. John had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
LION'S GROUP TRADING LLC
Contact Information
Established
Delaware since 12/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
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 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2002Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1994Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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