Shawn Pierre Hockaday
Professional Summary
Shawn Pierre Hockaday is a registered financial advisor currently at TAPP ENGINE SECURITIES located in San Antonio , Texas. Shawn is registered as a RR (Registered Representative) and started their career in finance in 1997. Shawn has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 27, Series 24, Series 53 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
TAPP ENGINE SECURITIES | TAPP ENGINE SECURITIES, LLC
Contact Information
Main Address
1400 Hancock St. 6th Floor, Quincy, MA 02169Mailing Address
1400 Hancock St. 6th Floor, Quincy, MA 02169Phone Number
(617) 221-6545Established
Delaware since 06/17/2020Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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
(1/3/2025)
(1/16/2025)
(12/12/2024)
(11/26/2024)
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(5/29/2024)
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(11/18/2024)
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(11/6/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jul 2022About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Shawn Pierre Hockaday's CRS (Customer Relationship Summary).
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