David Shiau
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.
David Shiau, who also goes by Shiau David, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 4 firms and has passed the Series 63, Series 3, Series 57TO, SIE, 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
April 10, 2024 - January 5, 2026
BUCKLER SECURITIES LLC
June 27, 2016 - June 12, 2023
JEFFERIES LLC
January 13, 2011 - December 21, 2015
SG AMERICAS SECURITIES, LLC
April 18, 2006 - January 14, 2011
CREDIT SUISSE SECURITIES (USA) LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/17/2009
Limited Representative-Equity Trader ExamCurrent Firm
BUCKLER SECURITIES LLC
CRD#: 284576 / SEC#: , 8-69807
Contact information
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULM, SCOTT JEFFREY | PRINCIPAL | 1575205 |
| ZIMMER, JEFFREY JOHNSON | PRINCIPLE | 1303531 |
| ARMOUR TRS INC | SHAREHOLDER | |
| CONIGLIARIO, THOMAS JOSEPH | CHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER | 1366831 |
| ESANNASON, CARLO YVAN | CCO | 4869110 |
| HARPER, GORDON MACKAY | CHIEF FINANCIAL OFFICER | 6632019 |
| JOSHI, JAI PAUL | CHIEF RISK OFFICER | 2263070 |
| KOKKO, LASSE ARTTURI | PRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP | 6976957 |
| MISIANO, RICHARD JOHN | CHIEF EXECUTIVE OFFICER | 2339879 |
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.
