Albert D. Shieh
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.
Albert David Shieh was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 2017. Albert had worked at 1 firm and has passed the Series 57TO, SIE and Series 57 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2017 - June 11, 2020
RONIN CAPITAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 9/11/2022
Securities Trader ExamCurrent Firm
RONIN CAPITAL, LLC
CRD#: 118428 / SEC#: , 8-53655
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZEN HOLDINGS, LLC | MEMBER | |
| FAIRWAY TRADING, LLC | MEMBER | |
| STAFFORD, JOHN SPRINGS III | CHIEF EXECUTIVE OFFICER | 2366359 |
| ANSATZ HOLDINGS LLC | MEMBER | |
| BURDA, AGNIESZKA | CHIEF COMPLIANCE OFFICER | 4832368 |
| CHERVITZ, KERI S | COMPLIANCE MANAGER | 2875647 |
| DAI, ERIC | CHIEF OPERATING OFFICER | 5880944 |
| GALIN, JONATHAN BRETT | CHIEF RISK OFFICER | 1597276 |
| HUERTA, KELLY JO | FINANCIAL AND OPERATION PRINCIPAL | 4889908 |
| POOLER, ROBERT EDWARD JR | CHIEF FINANCIAL OFFICER | 2817263 |
| WOLO CAPITAL, LLC | MEMBER |
Disclosures
| Regulatory Event | 26 |
Red Flags
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