Peter Shaw

CRD#: 1198351

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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.

Peter Shaw was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2016. Peter had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

April 6, 2026 - June 17, 2026

MCDERMOTT INVESTMENT ADVISORS, LLC

RIA

CRD#: 132221

ATLANTA, GA

Past

October 14, 2025 - January 15, 2026

GLOBAL VIEW CAPITAL MANAGEMENT LLC

RIA

CRD#: 158292

ATLANTA, GA

Past

April 12, 2025 - June 17, 2026

MCDERMOTT INVESTMENT SERVICES, LLC

CRD#: 154926

NAPLES, FL

Past

December 5, 2023 - September 12, 2024

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

Decatur, GA

Past

September 5, 2023 - November 3, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DECATUR, GA

Past

August 31, 2023 - November 3, 2023

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 23, 2021 - April 10, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MERRIMACK, NH

Past

November 13, 2021 - April 7, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

January 26, 2021 - September 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

January 25, 2021 - September 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

September 17, 2019 - May 22, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

September 16, 2019 - May 22, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

February 9, 2017 - February 27, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

February 9, 2017 - February 27, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

July 1, 2016 - January 9, 2017

HARRISDIRECT LLC

RIA

CRD#: 42159

Alpharetta, GA

Past

June 2, 2016 - January 9, 2017

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

February 2, 2016 - May 2, 2016

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Duluth, GA

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".

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 66

Date: 6/30/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2015

General Securities Representative Examination

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 Terminated)

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Contact information

Main Address

780 Fifth Avenue South Suite 200, Naples, FL 34102

Mailing Address

P.o. Box 1889, Bethlehem, PA 18016-1889

Phone number

(610) 882-1460

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCDERMOTT INVESTMENT ADVISORS, LLC FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	709
AUM (Assets Under Management)	$ 211,048,107

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

Peter Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBAL VIEW CAPITAL MANAGEMENT LLC

MCDERMOTT INVESTMENT SERVICES, LLC

EDELMAN FINANCIAL ENGINES

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

SIGMA FINANCIAL CORPORATION

Primary Firm SEC Registration

MCDERMOTT INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2016

SIE

Date: 2/27/2018

Series 7

Date: 12/14/2015

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCDERMOTT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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