Shawn T. Crouse

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CRD#: 2634807

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.

Shawn Thomas Crouse was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 1995. Shawn had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 14, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 29, 2020 - December 5, 2022

PRIVATE BROKERS, LLC

CRD#: 165758

NEW YORK, NY

Past

March 14, 2018 - November 2, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

Leander, TX

Past

October 19, 2016 - July 17, 2017

SOFI SECURITIES LLC

CRD#: 151717

SAN FRANCISCO, CA

Past

February 26, 2016 - July 29, 2016

SOFI WEALTH LLC

RIA

CRD#: 167958

SAN FRANCISCO, CA

Past

February 26, 2016 - July 29, 2016

SOFI SECURITIES LLC

CRD#: 151717

SAN FRANCISCO, CA

Past

December 1, 2014 - February 11, 2016

COINBASE SECURITIES, INC.

CRD#: 151143

SAN FRANCISCO, CA

Past

February 4, 2013 - September 23, 2014

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

CRD#: 153322

PORTSMOUTH, NH

Past

September 24, 2012 - November 14, 2012

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SAN FRANCISCO, CA

Past

August 3, 2009 - August 1, 2012

CYPRESS CAPITAL CORPORATION

CRD#: 42618

SAN FRANCISCO, CA

Past

April 15, 2005 - August 3, 2009

INLAND SECURITIES CORPORATION

CRD#: 15807

OAK BROOK, IL

Past

July 16, 2003 - April 7, 2005

CION SECURITIES, LLC

CRD#: 15487

NEW YORK, NY

Past

April 29, 1998 - June 23, 2003

PREFERREDTRADE, INC.

CRD#: 10993

SAN FRANCISCO, CA

Past

July 10, 1995 - March 26, 1998

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/28/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 5/18/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/28/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/1/2002

Registered Options Principal Examination

Current Firm

PRIVATE BROKERS, LLC

CEDARBRIDGE SECURITIES, LLC | PUBLIC BROKERS, LLC | PRIVATE BROKERS, LLC

CRD#: 165758 / SEC#: , 8-69181

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

745 5th Avenue Suite 500, New York, NY 10151

Mailing Address

745 5th Avenue Suite 500, New York, NY 10151

Phone number

(212) 210-6324

Established

Delaware since 08/24/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINITIVE HOLDINGS, INC.	OWNER
BARLOW, JONATHAN F.	OWNER OF FINITIVE HOLDINGS	4577581
PRINCE, TRISHA ANNE	CHIEF COMPLIANCE OFFICER	2941980
SIPINICK, KATHY EFREM	CFO/FINOP	3248100

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Shawn T. Crouse

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

SOFI SECURITIES LLC

SOFI WEALTH LLC

SOFI SECURITIES LLC

COINBASE SECURITIES, INC.

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

ALPS DISTRIBUTORS, INC.

CYPRESS CAPITAL CORPORATION

INLAND SECURITIES CORPORATION

CION SECURITIES, LLC

PREFERREDTRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1995

SIE

Date: 10/1/2018

Series 3

Date: 1/28/2003

Series 55

Date: 5/18/1999

Series 7

Date: 2/28/1997

Series 6

Date: 7/7/1995

Series 14

Date: 1/2/2023

Series 24

Date: 7/24/2015

Series 4

Date: 11/1/2002

Current Firm

PRIVATE BROKERS, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PRIVATE BROKERS, LLC

TRUST BUT VERIFY

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