SO
Shane O'malley
LIQUIDNET
NEW YORK, NY 10281
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CRD#: 7432107
SO
Professional summary
Shane O'malley is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.
Shane is registered as a RR (Registered Representative) and started their career in finance in 2021. Shane has worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Shane O'malley'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®
NoneExperience
Current
December 24, 2021 - Present
LIQUIDNET, INC.
Office #1: 200 Vesey Street 5th Floor, New York, NY 10281Office #2: 200 Vesey Street 5th Floor, New York, NY 10281BD
CRD#: 103987
NEW YORK, NY
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
Series 7TO
Date: 12/24/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
LI
LIQUIDNET, INC.
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey Street 5th Floor, New York, NY 10281
Mailing Address
200 Vesey Street 5th Floor, New York, NY 10281
Phone number
(212) 208-7061
Established
Delaware since 01/12/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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