Shawny A. Le
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.
Shawny Ann Le, who also goes by Shawny Ann Nicklas, was a registered financial professional .
Shawny is a previously registered financial professional and started their career in finance in 2013. Shawny had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2018 - January 7, 2020
HART CAPITAL MANAGEMENT, INC.
September 28, 2016 - December 31, 2017
HART CAPITAL MANAGEMENT, INC.
August 22, 2016 - September 15, 2016
CUNA BROKERAGE SERVICES, INC.
May 27, 2016 - September 15, 2016
CUNA BROKERAGE SERVICES, INC.
September 9, 2015 - May 11, 2016
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
July 13, 2015 - September 9, 2015
LPL FINANCIAL LLC
May 2, 2013 - July 21, 2015
PENNALUNA & COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HART CAPITAL MANAGEMENT, INC.
CRD#: 112108 / SEC#: 801-58297
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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