Shadtha O. Blan
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.
Shadtha Othman Blan, who also goes by Shae Blan, was a registered financial professional .
Shadtha is a previously registered financial professional and started their career in finance in 2011. Shadtha had worked at 5 firms and has passed the SIE 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
August 16, 2016 - September 15, 2016
FINANCIAL WEST GROUP
June 28, 2013 - April 8, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 2, 2012 - June 28, 2013
VIRTU AMERICAS LLC
January 10, 2011 - January 3, 2011
KNIGHT LIBERTAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
