David Shiau

BUCKLER SECURITIES LLC

Greenwich, CT 06831

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CRD#: 4545928

Professional summary

David Shiau, who also goes by Shiau David, is a registered financial professional currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 4 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shiau David

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 David Shiau's 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

April 10, 2024 - Present

BUCKLER SECURITIES LLC

Office #1: 5 Greenwich Office Park, Suite 350, Greenwich, CT 06831

CRD#: 284576

Greenwich, CT

Past

June 27, 2016 - June 12, 2023

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

January 13, 2011 - December 21, 2015

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

April 18, 2006 - January 14, 2011

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, 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

Arizona
(5/1/2024)

California
(5/1/2024)

Connecticut
(4/25/2024)

Delaware
(5/1/2024)

Florida
(4/26/2024)

Illinois
(4/30/2024)

Maryland
(5/1/2024)

Massachusetts
(5/1/2024)

Missouri
(11/5/2024)

New Jersey
(5/1/2024)

New York
(4/17/2024)

North Carolina
(5/1/2024)

Ohio
(5/1/2024)

Pennsylvania
(5/1/2024)

Texas
(5/1/2024)

Wisconsin
(5/1/2024)

Exams

State Security Law Exam

Series 63

Date: 7/24/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 7/17/2024

National Commodity Futures Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/17/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/17/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BUCKLER SECURITIES LLC

CRD#: 284576 / SEC#: , 8-69807

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

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Contact information

Main Address

5 Greenwich Office Park, Suite 350, Greenwich, CT 06831

Mailing Address

5 Greenwich Office Park, Suite 350, Greenwich, CT 06831

Phone number

(203) 633-2225

Established

Delaware since 04/28/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ARMOUR CAPITAL MANAGEMENT LP	SHAREHOLDER	164570
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
ULM, SCOTT JEFFREY	PRINCIPAL	1575205

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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Firm Stability Insights

David Shiau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Shiau's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

SG AMERICAS SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/2006

Series 3

Date: 7/17/2024

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/17/2009

Series 7

Date: 4/17/2006

FINRA

Current Firm

BUCKLER SECURITIES LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BUCKLER SECURITIES LLC

TRUST BUT VERIFY

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