Brian D. Shaw
Professional summary
Brian Douglas Shaw is a registered financial professional currently at AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Charlotte, North Carolina.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Douglas Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2024 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 300 S Tryon St, Charlotte, NC 28202July 3, 2017 - November 17, 2023
INTERCOASTAL CAPITAL MARKETS, INC.
February 14, 2011 - August 16, 2016
J.J.B. HILLIARD, W.L. LYONS, LLC
May 17, 2010 - February 15, 2011
TD AMERITRADE, INC.
January 7, 2009 - February 1, 2010
J.J.B. HILLIARD, W.L. LYONS, LLC
August 18, 2008 - December 18, 2008
R.W. SMITH & ASSOCIATES, LLC
January 16, 2006 - June 7, 2007
UBS SECURITIES LLC
October 3, 2003 - January 16, 2006
UBS FINANCIAL SERVICES INC.
July 26, 2000 - July 8, 2003
MORGAN STANLEY DW INC.
July 21, 1997 - April 13, 2000
J.C. BRADFORD & CO.
August 25, 1994 - June 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/11/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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