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Douglas Ryan Snyder

CRD# 2629819·Registered 1995 - 2006
Previously Registered: Being a previously registered professional could mean that Douglas 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.

Professional Summary

Douglas Ryan Snyder was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1995 - 2006. Douglas had worked at 7 firms and has passed the Series 63, Series 7, Series 52 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

31 years in the financial services industry

Current & Past Employments

SHAMROCK TRADING GROUP LLC·CRD# 136513
BD
Chicago, IL
January 18, 2006 - June 12, 2006
ALLSTON TRADING LLC·CRD# 125499
BD
Chicago, IL
October 12, 2005 - April 3, 2013
BLACK RIVER CAPITAL LLC·CRD# 122552
BD
Chicago, IL
May 24, 2005 - December 21, 2005
GH TRADERS LLC·CRD# 36665
BD
Chicago, IL
August 2, 2000 - November 7, 2002
CANTOR FITZGERALD SECURITIES·CRD# 19660
BD
New York, NY
December 16, 1998 - June 13, 2000
WEDGEWOOD PARTNERS, INC.·CRD# 21923
BD
St. Louis, MO
June 9, 1998 - November 10, 1998
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
BD
Detroit, MI
July 27, 1995 - May 8, 1997

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Current Firm

ST
SHAMROCK TRADING GROUP LLC

SHAMROCK TRADING GROUP LLC

CRD#: 136513 / SEC#: 8-67021
BD
Terminated by SEC on 09/12/2006

Contact Information

Established

Illinois since 06/30/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
O'CONNOR & COMPANY LLCMEMBER14020
FLOERSCH, WILLIAM CARLPRESIDENT2376600
HENNESSY, CAROL GRACECFO1693095
JORDAN, DONALD ROBERTTRADING PRINCIPAL2367047

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1995About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Jul 1995About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Jul 2005About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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