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YS

Yingchao Shan

SIMPLEX TRADING
CHICAGO, IL 60604
CRD#: 8151636
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YS
Yingchao ShanSIMPLEX TRADING

Professional summary

Yingchao Shan, who also goes by Tom Shan, is a registered financial professional currently at SIMPLEX TRADING, LLC located in Chicago, Illinois.

Yingchao is registered as a RR (Registered Representative) and started their career in finance in 2025. Yingchao has worked at 1 firm and has passed the SIE exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Shan

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 Yingchao Shan'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

August 25, 2025 - Present

SIMPLEX TRADING, LLC

Office #1: 230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
BD
CRD#: 153585
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: 3/30/2026
Securities Industry Essentials Examination
SRO Registrations
RR
BOX Exchange LLC

Current Firm

ST
SIMPLEX TRADING, LLC
MULTIPLEX TRADING LLC | SIMPLEX TRADING, LLC | SET TRADING PARTNERS, LLC

CRD#: 153585 / SEC#: , 8-68556

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

Main Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Mailing Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Phone number
(312) 360-2440
Established
Delaware since 02/22/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPLEX HOLDCO, LLCMANAGING MEMBER, OWNER
HAUFE, DAVID HARMONCHIEF TECHNOLOGY OFFICER5939783
KERLIN, DENNIS JOHNCHIEF COMPLIANCE OFFICER4757638
ROCKEY, JOAN KATHRYNCHIEF FINANCIAL OFFICER, FINOP4562343
SWANSON, ERIK THEODORECHIEF EXECUTIVE OFFICER5941677

Disclosures

Regulatory Event4

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SIMPLEX TRADING, LLC

CRD#: 153585Chicago, IL 60604

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