Scott 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.
Scott Kevin Shaw, who also goes by Scott Shaw, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 9 firms and has passed the Series 63, SIE, Series 15, Series 7, Series 14, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2017 - November 21, 2018
STATE STREET GLOBAL MARKETS, LLC
September 16, 2015 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
December 6, 2005 - October 3, 2006
COWEN EXECUTION SERVICES LLC
September 21, 2005 - September 1, 2015
PERSHING LLC
September 24, 2002 - August 29, 2005
J.P. MORGAN SECURITIES LLC
October 27, 1998 - October 3, 2002
CHARLES SCHWAB & CO., INC.
July 13, 1994 - September 25, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
November 17, 1992 - August 10, 1994
PRIME CHARTER LTD.
August 28, 1985 - November 16, 1992
CIBC WORLD MARKETS CORP.
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
Series 15
Date: 7/20/1987
Foreign Currency Options ExaminationSeries 8
Date: 8/29/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852 / SEC#: , 8-69862
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FISCHER, MARTIN ROBERT | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1692872 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
