Shiftan Shagabaev
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.
Shiftan Shagabaev, who also goes by Shiftan Yisrael Shagabaev, was a registered financial professional .
Shiftan is a previously registered financial professional and started their career in finance in 1997. Shiftan had worked at 11 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2010 - April 30, 2010
JOHN THOMAS FINANCIAL
January 30, 2007 - September 23, 2008
TAFFERER TRADING, LLC
August 23, 2005 - January 31, 2006
TAFFERER TRADING, LLC
November 28, 2003 - January 13, 2004
TAFFERER TRADING, LLC
October 1, 2003 - November 24, 2003
MILLENNIUM BROKERAGE, L.L.C.
August 4, 2003 - September 23, 2003
A.B. WATLEY, INC.
April 1, 2003 - July 31, 2003
WORLDCO, L.L.C.
June 1, 1999 - April 13, 2000
HAPOALIM SECURITIES USA, INC.
January 5, 1999 - June 1, 1999
STUART, COLEMAN & CO., INC.
October 9, 1998 - January 27, 1999
FIRST MADISON SECURITIES, INC.
October 1, 1997 - October 9, 1998
STUART, COLEMAN & CO., INC.
July 14, 1997 - October 16, 1997
J.P. MORGAN SECURITIES LLC
May 9, 1997 - June 26, 1997
MEYERS POLLOCK ROBBINS, INC.
February 19, 1997 - May 6, 1997
THE THERMOPYLAE GROUP, 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 55
Date: 4/1/2003
Limited Representative-Equity Trader ExamCurrent Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
Red Flags
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.
