Garry W. 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.
Garry Wayne Shaw, who also goes by Gary Wayne Shaw, was a registered financial professional .
Garry is a previously registered financial professional and started their career in finance in 1985. Garry had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2018 - May 31, 2018
MULTI-BANK SECURITIES, INC.
January 4, 2010 - December 15, 2017
CALTON & ASSOCIATES, INC.
February 27, 2008 - December 31, 2008
KESTRA INVESTMENT SERVICES, LLC
November 15, 2005 - December 21, 2007
THOMAS GROUP CAPITAL
April 29, 2004 - May 16, 2005
SUMA SECURITIES, LLC
January 4, 1999 - October 24, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 16, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
December 4, 1996 - June 16, 1997
MARION BASS SECURITIES CORPORATION
January 1, 1991 - August 29, 1994
VINING-SPARKS IBG, LLC
December 5, 1990 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
February 6, 1989 - November 23, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
October 21, 1988 - February 13, 1989
U.S. ASSOCIATES, INC.
January 4, 1988 - October 13, 1988
SWINK & COMPANY, INC.
June 12, 1987 - January 11, 1988
CREWS & ASSOCIATES, INC.
October 9, 1986 - June 11, 1987
BOWMAN & COMPANY INCORPORATED
July 18, 1985 - October 14, 1986
POWELL & SATTERFIELD, INC.
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
Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
