Robert K. 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.
Robert Kenneth Shaw was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2003 - July 25, 2005
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 3, 1997 - May 6, 1997
ONE ORCHARD EQUITIES, INC.
April 22, 1986 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
September 12, 1985 - June 3, 2019
EMPOWER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
CRD#: 24220 / SEC#: , 8-41042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANADA LIFE INSURANCE COMPANY OF AMERICA | PARENT | |
| BYRNE, BEVERLY ANN | SECRETARY | 1983774 |
| DERBACK, GLEN RAY | TREASURER | 1330783 |
| GILE, SUSAN CURTIS | ADMINISTRATIVE OFFICER | 1689044 |
| LAEYENDECKER, RONALD JOHN | VICE PRESIDENT | 2420179 |
| LUIZ, TERESA LYNN | COMPLIANCE OFFICER | 1573186 |
| MAIERS, MARY CAROL | INVESTMENTS COMPLIANCE OFFICER & FINANCIAL OPERATIONS PRINCIPAL | 4468209 |
| MCDONALD, GRAHAM RICHARD | DIRECTOR | 1250661 |
| NELSON, CHARLES PATRICK | DIRECTOR & PRESIDENT | 1161349 |
| SHAW, ROBERT KENNETH | DIRECTOR | 1224633 |
Red Flags
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