Randall L. Shaw

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CRD#: 1183774

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.

Randall Leonard Shaw, who also goes by Randall L Shaw, Randy Shaw, was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 1983. Randall had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randall L Shaw | Randy Shaw

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 11, 2012 - October 23, 2014

COMPASS FINANCIAL ADVISORS LLC

RIA

CRD#: 109131

FORT WAYNE, IN

Past

October 9, 2012 - October 23, 2014

FINTEGRA, LLC

CRD#: 16741

FORT WAYNE, IN

Past

December 8, 1998 - December 3, 2012

GREGORY, ZENT & SWANSON INC.

RIA

CRD#: 22590

FORT WAYNE, IN

Past

December 23, 1992 - December 18, 2013

FINANCIAL PROFILE SYSTEMS, INC.

RIA

CRD#: 122664

FORT WAYNE, IN

Past

October 5, 1988 - November 28, 2012

GREGORY, ZENT & SWANSON INC.

CRD#: 22590

FORT WAYNE, IN

Past

November 12, 1987 - October 24, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 23, 1983 - December 6, 1991

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HORSHAM, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131 / SEC#: 801-56002

RIA

Registered Investment Advisory firm - (11/30/1998 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/23/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Current Firm

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131 / SEC#: 801-56002

RIA

Registered Investment Advisory firm - (11/30/1998 Approved)

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Contact information

Main Address

9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825

Mailing Address

Phone number

(260) 490-7878

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL PART 2A BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	750
AUM (Assets Under Management)	$ 264,674,639

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Randall L. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINTEGRA, LLC

GREGORY, ZENT & SWANSON INC.

FINANCIAL PROFILE SYSTEMS, INC.

GREGORY, ZENT & SWANSON INC.

INTEGRATED RESOURCES EQUITY CORPORATION

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

COMPASS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1983

SIE

Date: 10/23/2014

Series 7

Date: 9/17/1983

Current Firm

COMPASS FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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