Ronald C. 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.
Ronald Curtis Shaw, who also goes by Ron Curtis Shaw, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 4 firms and has passed the Series 63 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
December 11, 1989 - January 29, 1997
S. C. COSTA COMPANY, INC.
June 13, 1989 - July 29, 1989
VIKING FINANCIAL, INC.
October 23, 1987 - April 25, 1989
TOLUCA PACIFIC SECURITIES CORP.
April 16, 1984 - August 17, 1987
FITZGERALD, DEARMAN & ROBERTS, 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
S. C. COSTA COMPANY, INC.
CRD#: 7044 / SEC#: , 8-20326
Contact information
Documents
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.
