Theodore K. Shirley
Professional summary
Theodore Kristian Shirley, who also goes by Ted Shirley, is a registered financial professional currently at DEALERWEB LLC located in Garden City, New York.
Theodore is registered as a RR (Registered Representative) and started their career in finance in 1993. Theodore has worked at 5 firms and has passed the Series 72 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Theodore Kristian Shirley's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2011 - Present
DEALERWEB LLC
Office #1: 1225 Franklin Avenue Suite 550, Garden City, NY 11530July 21, 2004 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
November 6, 2001 - July 15, 2004
SEABOARD SECURITIES, INC.
June 10, 1997 - November 2, 2001
CHAPDELAINE CORPORATE SECURITIES & CO
June 25, 1993 - June 6, 1997
INTERCAPITAL GOVERNMENT SECURITIES 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 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
DEALERWEB LLC
CRD#: 19662 / SEC#: , 8-38103
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB IDB MARKETS, INC. | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| COTTER, RICHARD JOSEPH JR | PRINCIPAL FINANCIAL OFFICER | 1611037 |
| GALINDO, JORGE ALBERTO JR | PRINCIPAL OPERATIONS OFFICER | 2501261 |
| HUESTIS, TIMOTHY DANIEL | EXECUTIVE REPRESENTATIVE | 4931620 |
| MCKEON, ALFRED PETER | PRESIDENT | 1666355 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| SULLIVAN, MICHAEL FRANCIS | CHIEF COMPLIANCE OFFICER | 3254037 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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