Gerald E. Shaw
FOREFRONT
Austin, TX 78735
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CRD#: 1305370
Professional summary
Gerald E Shaw JR, CFP®, who also goes by Jerry Shaw Jr, is a registered financial advisor currently at FOREFRONT located in Austin, Texas and CALTON & ASSOCIATES, INC. located in Seminole, Florida.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Gerald has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jerry Shaw Jr
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.
1) Summit Advisors, LLC - investment-related - 6247 Seminole Blvd., Suite 200, Seminole, FL 33772 - fee-based financial and tax planning, life insurance and fixed-rate annuity sales - Owner of single-member LLC and service provider since 01/01/2005 - approximately 15 hours/month, all during trading hours - Financial Planner, Agent for sales of life insurance and fixed annuities 2) Seminole Tax Pros, LLC - not investment-related - 6247 Seminole Blvd., Suite 200, Seminole, FL 33772 - tax preparation and consulting - Owner of single-member LLC and service provider since 10/25/2015 - approximately 10 hours/month, all during trading hours - new client intake, review and delivery of personal tax returns 3) Calton & Associates - investment-related - 2701 N ROCKY POINT DRIVE, SUITE 1000, Tampa, FL 36607 - registered representative of a broker dealer
CRS (Client Relationship Summary) - RIA
Click below to view Gerald E Shaw JR'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®
CFP®
Start date: 2003
Experience
Current
July 7, 2023 - Present
FOREFRONT
Office #1: 7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735RIA
CRD#: 308521
Austin, TX
Current
May 23, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 6247 Seminole Blvd Suite 200, Seminole, FL 33772RIA
BD
CRD#: 20999
Seminole, FL
Past
August 25, 2020 - May 17, 2023
STARK FINANCIAL ADVISERS, INC.
RIA
CRD#: 121213
Seminole, FL
Past
May 22, 2020 - May 17, 2023
R.M. STARK & CO., INC.
BD
CRD#: 7612
SEMINOLE, FL
Past
August 11, 2015 - June 8, 2020
MUTUAL TRUST ASSET MGMT., INC.
RIA
CRD#: 121364
SEMINOLE, FL
Past
July 2, 2015 - June 4, 2020
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
BD
CRD#: 8494
Seminole, FL
Past
November 9, 2012 - July 10, 2015
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SEMINOLE, FL
Past
November 9, 2012 - July 10, 2015
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SEMINOLE, FL
Past
October 8, 2007 - November 12, 2012
SPC
RIA
CRD#: 110692
SEMINOLE, FL
Past
October 8, 2007 - November 12, 2012
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
SEMINOLE, FL
Past
February 9, 2007 - October 10, 2007
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
CLEARWATER, FL
Past
February 8, 2007 - October 10, 2007
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
CLEARWATER, FL
Past
May 6, 2002 - February 12, 2007
SPC
RIA
CRD#: 110692
SEMINOLE, FL
Past
January 5, 1996 - February 12, 2007
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
SEMINOLE, FL
Past
April 27, 1989 - February 15, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
September 20, 1984 - June 6, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)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.RR
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
RR
Colorado(5/21/2024)
RR
Florida(5/23/2023)
IAR
Florida(7/7/2023)
RR
Georgia(5/23/2023)
RR
Maryland(5/23/2023)
RR
Michigan(5/23/2023)
RR
Minnesota(5/23/2023)
RR
Virginia(5/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/3/1999
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735
Mailing Address
Phone number
(512) 617-1984
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 239,835,320 |
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.
