Nan Shen
Professional Summary
Nan Shen, who also goes by Shannon Nan Shen, is a registered financial advisor currently at TOWER PRINCIPAL MARKETS LLC located in Chicago, Illinois. Nan is registered as a RR (Registered Representative) and started their career in finance in 2013. Nan has worked at 3 firms and has passed the SIE, Series 57TO and Series 56 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nan Shen, Shannon Nan Shen
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TOWER PRINCIPAL MARKETS LLC
Contact Information
Main Address
111 Coleman Blvd Suite 404, Mount Pleasant, SC 29464Mailing Address
111 Coleman Blvd Suite 404, Mount Pleasant, SC 29464Phone Number
(917) 388-8644Established
Delaware since 02/24/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | — |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 56 — Proprietary Trader Qualification Examination
Passed Aug 2013SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nan Shen's CRS (Customer Relationship Summary).
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