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Ronald Curtis Shaw

CRD# 1243492·Registered 1984 - 1997
Previously Registered: Being a previously registered professional could mean that Ronald 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.

Professional Summary

Ronald Curtis Shaw, who also goes by Ron Curtis Shaw, was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1984 - 1997. Ronald had worked at 4 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ron Curtis Shaw

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

Past

S. C. COSTA COMPANY, INC.Past·CRD# 7044
BD
Tulsa, OK
December 11, 1989 - January 29, 1997
VIKING FINANCIAL, INC.Past·CRD# 22349
BD
Plano, TX
June 13, 1989 - July 29, 1989
TOLUCA PACIFIC SECURITIES CORP.Past·CRD# 13875
BD
Burbank, CA
October 23, 1987 - April 25, 1989
FITZGERALD, DEARMAN & ROBERTS, INC.Past·CRD# 317
BD
April 16, 1984 - August 17, 1987

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Current Firm

SC
S. C. COSTA COMPANY, INC.

S. C. COSTA COMPANY, INC.

CRD#: 7044 / SEC#: 8-20326
BD
Terminated by SEC on 04/11/1997

Contact Information

Established

Oklahoma since 12/23/1975

Firm Type

Corporation

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1984About the Series 7 exam

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CRS (Client Relationship Summary)

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

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