Alan R. Shaw

EAGLE POINT SECURITIES LLC

Greenwich, CT 06830

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CRD#: 1280799

Professional summary

Alan Robert Shaw is a registered financial professional currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1984. Alan has worked at 19 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Alan Robert Shaw's 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

March 5, 2025 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830

CRD#: 324528

Greenwich, CT

Past

February 10, 2017 - February 18, 2025

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

NEW YORK, NY

Past

August 3, 2015 - February 9, 2017

PREFERRED CAPITAL SECURITIES, LLC

CRD#: 169719

ATLANTA, GA

Past

December 5, 2014 - August 3, 2015

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

April 22, 2014 - October 16, 2014

PTX SECURITIES, LLC

CRD#: 7735

PLANO, TX

Past

October 10, 2013 - April 23, 2014

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

February 25, 2013 - May 16, 2013

KBR CAPITAL MARKETS, LLC

CRD#: 128800

PALO ALTO, CA

Past

July 13, 2012 - February 22, 2013

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

September 22, 2011 - July 16, 2012

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

April 16, 2004 - September 29, 2011

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

ADDISON, TX

Past

September 17, 2001 - April 8, 2004

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

September 2, 1998 - August 29, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 27, 1997 - January 28, 1998

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

March 13, 1996 - August 2, 1996

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 18, 1990 - March 19, 1996

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

Past

November 15, 1989 - March 10, 1990

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

July 1, 1987 - October 24, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

May 6, 1985 - June 29, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 22, 1984 - May 6, 1985

BOETTCHER & COMPANY, INC.

CRD#: 101

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(3/5/2025)

Louisiana
(3/5/2025)

New Mexico
(3/5/2025)

Oklahoma
(3/5/2025)

Texas
(3/5/2025)

Exams

State Security Law Exam

Series 63

Date: 8/31/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

600 Steamboat Road Suite 202, Greenwich, CT 06830

Mailing Address

600 Steamboat Road Suite 202, Greenwich, CT 06830

Phone number

(203) 340-8565

Established

Delaware since 11/29/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EAGLE POINT HOLDINGS LP	SOLE MEMBER
CHUNG, MICHAEL NMN	FINOP/PFO	5739877
DAIGLE, JENNIFFER ALYCE	VICE PRESIDENT	2620553
DOHERTY, JAMES HUGH	PRINCIPAL OPERATIONS OFFICER (POO)	4197747
FOX, GERHARD ROBERT	CHIEF COMPLIANCE OFFICER	2796860
ROTH, JOSEPH HARRIS	PRESIDENT	7673254

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Alan R. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alan Robert Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUEROCK CAPITAL MARKETS LLC

PREFERRED CAPITAL SECURITIES, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

PTX SECURITIES, LLC

AXIOM CAPITAL MANAGEMENT, INC.

KBR CAPITAL MARKETS, LLC

GRIFFIN CAPITAL SECURITIES, LLC

LOCORR DISTRIBUTORS, LLC

PROVASI CAPITAL PARTNERS LP

TRANSAMERICA CAPITAL, LLC

CAPITAL BROKERAGE CORPORATION

BBVA COMPASS INVESTMENT SOLUTIONS, INC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES OF TEXAS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

INVEST FINANCIAL CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

BOETTCHER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

FINRA

Current Firm

EAGLE POINT SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EAGLE POINT SECURITIES LLC

TRUST BUT VERIFY

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