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NS

Nan Shen

TOWER PRINCIPAL MARKETS LLC
Chicago, IL 60611
Some features on this profile are disabled
CRD#: 6233861
NS

Professional summary

Nan Shen, who also goes by Shannon Nan Shen, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shannon Nan Shen

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 Nan Shen'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

March 20, 2024 - Present

TOWER PRINCIPAL MARKETS LLC

Office #1: 330 N Wabash Suite 1450, Chicago, IL 60611
BD
CRD#: 319604
Chicago, IL
Past

March 30, 2017 - August 27, 2019

IMC FINANCIAL MARKETS

BD
CRD#: 104143
CHICAGO, IL
Past

August 16, 2013 - October 4, 2016

AKUNA SECURITIES LLC

BD
CRD#: 159041
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 3/20/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57TO
Date: 3/20/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 56
Date: 8/15/2013
Proprietary Trader Qualification Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TP
TOWER PRINCIPAL MARKETS LLC
TOWER PRINCIPAL MARKETS LLC

CRD#: 319604 / SEC#: , 8-70919

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
111 Coleman Blvd Suite 404, Mount Pleasant, SC 29464
Mailing Address
111 Coleman Blvd Suite 404, Mount Pleasant, SC 29464
Phone number
(917) 388-8644
Established
Delaware since 02/24/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TOWER RESEARCH CAPITAL LLCMEMBER
CONCANNON, SEAN PATRICKPRINCIPAL FINANCIAL OFFICER5364102
ELLMAN, MICHAEL GREGPRINCIPAL OPERATIONS OFFICER & FINOP5574667
MESTER, THOMAS BRENNERCHIEF COMPLIANCE OFFICER2350593
SHEDID, MARWA MAHMOUDCHIEF OPERATING OFFFICER5470002
WILSON, KENNETH NIXONCEO3014927

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.

Company Information

TOWER PRINCIPAL MARKETS LLC

CRD#: 319604Chicago, IL 60611

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