Who Is Shaine Deasal
Shaine Deasal is a finance professional associated with corporate governance, regulatory filings, and institutional advisory roles. Public records show involvement with entities registered with the U.S. Securities and Exchange Commission, including broker-dealer and investment adviser filings U.S. Securities and Exchange Commission.
Deasal's profile appears in financial databases that track executive appointments, compliance histories, and licensing records. These sources link the name to roles requiring Series 7, Series 66, and other FINRA registrations Financial Industry Regulatory Authority.
Career and Professional Background
Corporate and Advisory Roles
Deasal has held positions in asset management, compliance, and client-facing advisory functions. Responsibilities often include portfolio oversight, risk controls, and regulatory reporting for registered investment advisers.
Regulatory and Compliance Focus
Work history includes coordination with compliance departments and external auditors. Tasks involve Form ADV filings, trade surveillance, and anti-money-laundering procedures at firms subject to SEC and state regulator oversight.
Licenses and Certifications
Public records indicate active FINRA licenses and registrations tied to broker-dealer and investment adviser activities. These credentials are verified through central registration repositories and employer disclosures.
Industry Sectors
Roles span asset management, wealth advisory, and institutional brokerage. Experience includes working with registered funds, separately managed accounts, and private placement offerings.
Public Records and Data Sources
Shaine Deasal's professional background is documented in SEC EDGAR filings, FINRA BrokerCheck, and state securities regulator databases. These sources provide details on registrations, employment history, and disciplinary disclosures SEC EDGAR.
Third-party financial data platforms aggregate regulatory filings and employment records to show current and past affiliations. Users can search for Deasal's name alongside firm names and CRD numbers to verify credentials FINRA BrokerCheck.