Douglas B. Shaw
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.
Douglas Bruce Shaw was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2009 - July 6, 2016
LING & SHAW SERVICES, L.L.C.
April 23, 2009 - April 30, 2009
IMS SECURITIES, INC.
April 1, 2004 - March 26, 2009
STANFORD GROUP COMPANY
February 26, 2004 - March 26, 2009
STANFORD GROUP COMPANY
September 4, 1990 - February 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - February 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
March 21, 1988 - September 1, 1988
BOETTCHER & COMPANY, INC.
March 2, 1982 - April 5, 1988
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LING & SHAW SERVICES, L.L.C.
CRD#: 150238 / SEC#:
Contact information
Red Flags
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