Shane E. Swanson

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CRD#: 3206742

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.

Shane Eric Swanson was a registered financial professional .

Shane is a previously registered financial professional and started their career in finance in 1999. Shane had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 27 and Series 24 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

August 3, 2016 - April 26, 2017

CITADEL SECURITIES LLC

CRD#: 116797

MIAMI, FL

Past

May 7, 2013 - August 4, 2016

CITI ORDER ROUTING AND EXECUTION, LLC

CRD#: 103768

MOUNT PLEASANT, SC

Past

May 1, 2012 - December 6, 2012

ELADIAN PARTNERS BROKERAGE LLC

CRD#: 158893

NEW YORK, NY

Past

December 2, 2008 - October 21, 2010

LAVAFLOW, INC.

CRD#: 120444

NEW YORK, NY

Past

October 6, 2006 - December 12, 2008

AUTOMATED TRADING DESK SERVICE BUREAU, LLC

CRD#: 139626

MT. PLEASANT, SC

Past

January 8, 2004 - October 21, 2010

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC

CRD#: 36000

MOUNT PLEASANT, SC

Past

June 22, 2000 - October 21, 2010

CITI ORDER ROUTING AND EXECUTION, LLC

CRD#: 103768

MOUNT PLEASANT, SC

Past

April 8, 1999 - February 24, 2003

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC

CRD#: 36000

MT. PLEASANT, SC

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: 9/4/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/28/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/7/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/6/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 8/6/1999

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/1999

General Securities Principal Examination

Current Firm

CITADEL SECURITIES LLC

CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC

CRD#: 116797 / SEC#: , 8-53574

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

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Contact information

Main Address

830 Brickell Plaza, Miami, FL 33131

Mailing Address

830 Brickell Plaza, Miami, FL 33131

Phone number

(305) 929-6851

Established

Delaware since 07/30/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CSHC US LLC	OWNER
ZHAO, PENG	CHIEF EXECUTIVE OFFICER	4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)	MANAGING MEMBER
HAROLD, MARC RYAN	CHIEF COMPLIANCE OFFICER	3200916
HENRY, STEVEN MICHAEL	CHIEF ACCOUNTING OFFICER	5587809

Disclosures

Regulatory Event	75
Arbitration	1

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

Shane E. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITI ORDER ROUTING AND EXECUTION, LLC

ELADIAN PARTNERS BROKERAGE LLC

LAVAFLOW, INC.

AUTOMATED TRADING DESK SERVICE BUREAU, LLC

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC

CITI ORDER ROUTING AND EXECUTION, LLC

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/4/2013

SIE

Date: 4/26/2017

Series 55

Date: 4/28/1999

Series 7

Date: 4/7/1999

Series 4

Date: 6/6/2006

Series 27

Date: 8/6/1999

Series 24

Date: 5/19/1999

Current Firm

CITADEL SECURITIES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CITADEL SECURITIES LLC

TRUST BUT VERIFY

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