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TS

Thomas W. Shaw

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CRD#: 1392614
TS

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.

Thomas William Shaw was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 25, 2018 - December 31, 2021

WHITAKER SECURITIES LLC

BD
CRD#: 121465
MANALAPAN, NJ
Past

June 7, 2017 - June 29, 2018

LEK SECURITIES CORPORATION

BD
CRD#: 33135
Manalpan, NJ
Past

November 4, 2014 - June 1, 2017

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
MANALAPAN, NJ
Past

November 5, 1997 - October 17, 2014

SEIDEL & CO., LLC

BD
CRD#: 42821
NEW YORK, N. Y., NY
Past

October 18, 1994 - June 17, 1997

BERNARD, RICHARDS SECURITIES, INC.

BD
CRD#: 32653
NEW YORK, NY
Past

February 7, 1991 - October 31, 1994

SFI INVESTMENTS, INC.

BD
CRD#: 21663
NEW YORK, NY
Past

April 21, 1989 - November 28, 1990

EMANUEL AND COMPANY

BD
CRD#: 7309
NEW YORK, NY
Past

December 18, 1985 - April 19, 1989

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404
Past

October 3, 1985 - December 2, 1985

OPPENHEIMER & CO. INC.

BD
CRD#: 249

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/28/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/12/1993
General Securities Principal Examination

Current Firm

WS
WHITAKER SECURITIES LLC
QUEST BROKERS | WHITAKER SECURITIES LLC

CRD#: 121465 / SEC#: , 8-65419

BD
Terminated by SEC on 09/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICOSIA, ROSALIE MARGARETCHIEF COMPLIANCE OFFICER, CRCP4239124

Disclosures

Regulatory Event6

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.

Company Information

WHITAKER SECURITIES LLC

CRD#: 121465

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