LAWRENCE D. SHAW

CETERA INVESTMENT ADVISERS LLC | Wealth Advisor

PHILADELPHIA, PA

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CRD#: 1325285

Professional summary

LAWRENCE DAVID SHAW, who also goes by Larry Shaw, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and CETERA INVESTMENT SERVICES LLC located in Bala Cynwyd, Pennsylvania.

LAWRENCE is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. LAWRENCE has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8 and Series 4 exams.

Biography

As a relationship manager, Larry has the expertise and flexibility to help clients address any situation in which they find themselves. But it may be his musical background that provides the real flexibility in his character and drives his creative insights. Larry started playing guitar at age nine and soon after he embarked on a musical career that has spanned just about every genre you can name. Larry began his career in financial services by taking finance classes at night. He has worked at a number of firms, including an eighteen-year stint with Charles Schwab, before finding his home at Cordasco Financial Network. When he’s not working, playing music, at the gym, or solving Sudoku puzzles, Larry spends time with his four children and seven grandkids.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Shaw

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 LAWRENCE DAVID 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

January 9, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 555 City Avenue Suite 440, Bala Cynwyd, PA 19004

RIA

CRD#: 105644

PHILADELPHIA, PA

Current

January 9, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 555 City Avenue Suite 440, Bala Cynwyd, PA 19004

CRD#: 15340

BALA CYNWYD, PA

Past

March 29, 2022 - January 4, 2024

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Cherry Hill, NJ

Past

October 1, 2012 - April 1, 2022

ANDREW GARRETT INC.

CRD#: 29931

Southhampton, PA

Past

September 5, 2012 - July 12, 2022

CORDASCO FINANCIAL NETWORK, INC.

RIA

CRD#: 159544

SOUTHAMPTON, PA

Past

February 13, 1995 - August 7, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHILADELPHIA, PA

Past

January 11, 1991 - September 2, 1993

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

October 30, 1989 - September 7, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 15, 1986 - May 24, 1989

BOENNING & SCATTERGOOD, INC.

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

December 18, 1984 - April 16, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Past

December 18, 1984 - November 26, 1991

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

New Jersey
(7/17/2024)

IAR

Pennsylvania
(1/9/2024)

Pennsylvania
(1/10/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/8/1986

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: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/20/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 2/18/1992

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Contact information

xxxxx@xxxx.xxx

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LAWRENCE D. SHAW

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view LAWRENCE DAVID SHAW's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MERCER GLOBAL ADVISORS INC.

ANDREW GARRETT INC.

CORDASCO FINANCIAL NETWORK, INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

BOENNING & SCATTERGOOD, INC.

FIRST JERSEY SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2005

Series 63

Date: 1/8/1986

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Series 8

Date: 6/20/1992

Series 4

Date: 2/18/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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