Shawn P. Hockaday

TAPP ENGINE SECURITIES

San Antonio , TX 78217

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CRD#: 2882891

Professional summary

Shawn Pierre Hockaday is a registered financial professional 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.

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) - BD

Click below to view Shawn Pierre Hockaday's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 29, 2024 - Present

TAPP ENGINE SECURITIES

Office #1: 8610 Broadway Suite 270 Suite 270, San Antonio , TX 78217

CRD#: 314806

San Antonio , TX

Past

September 8, 2022 - January 4, 2024

SOCIAL INVSTR

CRD#: 309923

San Antonio, TX

Past

June 10, 2016 - June 4, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

April 28, 2015 - May 2, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

October 10, 2003 - June 4, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

October 10, 2003 - June 4, 2020

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

December 19, 2002 - June 11, 2003

E*TRADE ADVISORY SERVICES, INC.

RIA

CRD#: 111178

SAN ANTONIO, TX

Past

December 19, 2002 - June 11, 2003

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

September 9, 2002 - October 29, 2002

E*TRADE ADVISORY SERVICES, INC.

RIA

CRD#: 111178

SAN ANTONIO, TX

Past

May 14, 2002 - October 29, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

January 8, 1998 - May 20, 2002

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

May 9, 1997 - December 22, 1997

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/3/2025)

Alaska
(1/16/2025)

Arkansas
(12/12/2024)

California
(11/26/2024)

Colorado
(11/6/2024)

Connecticut
(2/5/2025)

Delaware
(11/13/2024)

District of Columbia
(2/20/2025)

Florida
(3/28/2025)

Georgia
(2/10/2025)

Hawaii
(3/14/2025)

Idaho
(3/28/2025)

Illinois
(4/25/2025)

Indiana
(3/12/2025)

Iowa
(11/6/2024)

Kansas
(11/22/2024)

Kentucky
(11/8/2024)

Louisiana
(11/12/2024)

Maine
(11/18/2024)

Maryland
(2/4/2025)

Massachusetts
(3/28/2025)

Michigan
(3/28/2025)

Minnesota
(3/28/2025)

Mississippi
(11/7/2024)

Missouri
(2/24/2025)

Montana
(11/18/2024)

Nebraska
(11/20/2024)

Nevada
(11/6/2024)

New Jersey
(2/21/2025)

New Mexico
(3/18/2025)

New York
(11/6/2024)

North Carolina
(11/6/2024)

North Dakota
(3/18/2025)

Ohio
(11/18/2024)

Oklahoma
(11/6/2024)

Oregon
(11/18/2024)

Pennsylvania
(3/28/2025)

Rhode Island
(11/12/2024)

South Carolina
(11/19/2024)

South Dakota
(11/19/2024)

Tennessee
(11/22/2024)

Texas
(5/29/2024)

Utah
(11/12/2024)

Vermont
(11/18/2024)

Virginia
(12/14/2024)

Washington
(3/28/2025)

West Virginia
(2/11/2025)

Wisconsin
(1/9/2025)

Wyoming
(11/6/2024)

Exams

State Security Law Exam

Series 63

Date: 11/4/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/20/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/25/2022

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 7/25/2022

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 7/25/2022

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 7/25/2022

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/12/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/1/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 1/2/2023

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/25/2022

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/25/2022

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

TAPP ENGINE SECURITIES

TAPP ENGINE SECURITIES | TAPP ENGINE SECURITIES, LLC

CRD#: 314806 / SEC#: , 8-70723

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1400 Hancock St. 6th Floor, Quincy, MA 02169

Mailing Address

1400 Hancock St. 6th Floor, Quincy, MA 02169

Phone number

(617) 221-6545

Established

Delaware since 06/17/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TAPP ENGINE, INC.	PARENT COMPANY
HOCKADAY, SHAWN PIERRE	COO, POO	2882891
OSUNSANYA, TOSIN	CEO	3117458
PETERS, ROBERT WILLIAM	FINOP, PFO	1704577
WISHNIVETSKI, ELI	CCO	4424907

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.

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Advisor Monitoring

Firm Stability Insights

Shawn P. Hockaday

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Pierre Hockaday's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOCIAL INVSTR

USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

E*TRADE ADVISORY SERVICES, INC.

E*TRADE SECURITIES LLC

E*TRADE ADVISORY SERVICES, INC.

E*TRADE SECURITIES LLC

USAA INVESTMENT SERVICES COMPANY

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/2022

Series 65

Date: 8/20/2002

Series 7TO

Date: 7/25/2022

Series 52TO

Date: 7/25/2022

Series 99TO

Date: 7/25/2022

Series 57TO

Date: 7/25/2022

SIE

Date: 10/1/2018

Series 55

Date: 6/12/2001

Series 7

Date: 5/1/1997

Series 27

Date: 1/2/2023

Series 24

Date: 7/25/2022

Series 53

Date: 7/25/2022

Series 4

Date: 7/25/2022

FINRA

Current Firm

TAPP ENGINE SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TAPP ENGINE SECURITIES

TRUST BUT VERIFY

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