Shawn E. Herrin
Professional summary
Shawn Everett Herrin is a registered financial professional currently at REGAL SECURITIES, INC. located in Glenview, Illinois.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 1993. Shawn has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 27, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shawn Everett Herrin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 1998 - Present
REGAL SECURITIES, INC.
Office #1: 950 Milwaukee Ave. Suite 102, Glenview, IL 60025January 12, 1998 - April 21, 1998
NORTH COAST SECURITIES CORPORATION
June 13, 1994 - January 8, 1998
CHICAGO PARTNERSHIP BOARD, INC.
January 22, 1993 - May 7, 1993
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
(7/7/2023)
(5/8/1998)
(8/5/2020)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/6/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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