Steven E. Shaw

CLEAR HARBOR ASSET MANAGEMENT

Stamford, CT 06901

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CRD#: 1273749

Professional summary

Steven Elliot Shaw is a registered financial advisor currently at CLEAR HARBOR ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Steven Elliot Shaw's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 14, 2020 - Present

CLEAR HARBOR ASSET MANAGEMENT, LLC

Office #1: 263 Tresser Blvd. Suite 1502, Stamford, CT 06901

RIA

CRD#: 152242

Stamford, CT

Past

May 9, 2011 - January 28, 2015

LITTLE OAK ASSET MANAGEMENT, LLC

RIA

CRD#: 156632

CRESSKILL, NJ

Past

July 20, 2006 - April 21, 2011

INGALLS & SNYDER, LLC

CRD#: 2288

NEW YORK, NY

Past

November 3, 2000 - September 19, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

October 16, 2000 - August 8, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

February 8, 1993 - October 16, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 9, 1990 - February 16, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

July 25, 1987 - March 13, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

CRD#: 19727

Past

July 26, 1984 - March 13, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/14/2020)

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 65

Date: 5/23/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 9/12/1984

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/3/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/15/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

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Contact information

Main Address

263 Tresser Blvd. Suite 1502, Stamford, CT 06901

Mailing Address

Phone number

(212) 867-7310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEAR HARBOR ASSET MANAGEMENT ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,667
AUM (Assets Under Management)	$ 1,742,800,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report
01/06/2023	Cover Page	Report
04/28/2022	Cover Page	Report

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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Steven E. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Elliot Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

LITTLE OAK ASSET MANAGEMENT, LLC

INGALLS & SNYDER, LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

KIDDER, PEABODY & CO. INCORPORATED

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

CLEAR HARBOR ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2011

Series 63

Date: 8/21/1984

Series 5

Date: 9/12/1984

Series 7

Date: 7/21/1984

Series 10

Date: 10/3/2001

Series 9

Date: 8/15/2001

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEAR HARBOR ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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