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David Shiau

Buckler Securities LLC

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About David Shiau

David Shiau is a financial professional with over 16 years of experience in the securities industry. David has a strong track record of success in providing investment advice and trading services to individual and institutional clients. David is currently registered with Buckler Securities LLC and is a member of FINRA and SIPC. Prior to joining Buckler Securities, David held positions at Jefferies LLC, SG Americas Securities, LLC, and Credit Suisse Securities (USA) LLC. David is a licensed Series 3, 7, 55, 57TO, and 63. David is committed to providing his clients with the highest level of service and expertise.

Firm Information

David Shiau is currently registered with Buckler Securities LLC. Buckler Securities LLC is a Limited Liability Company formed on April 28, 2016. The firm is registered in 15 states and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

17

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Shiau’s Registration & Firm History

CT

04/10/2024 - Present

Buckler Securities LLC (Greenwich CT)

NY

06/27/2016 - 06/12/2023

JEFFERIES LLC (NEW YORK NY)

NY

01/13/2011 - 12/21/2015

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

04/18/2006 - 01/14/2011

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/24/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/17/2024

Series 3 - National Commodity Futures Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/17/2009

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/17/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Shiau.
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