Terrill A. 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.
Terrill Alan Shaw, who also goes by Terry Shaw, was a registered financial professional .
Terrill is a previously registered financial professional and started their career in finance in 1986. Terrill had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
August 7, 2023 - December 31, 2023
CETERA FINANCIAL SPECIALISTS LLC
July 27, 2020 - August 9, 2023
SECURITIES AMERICA ADVISORS, INC.
July 27, 2020 - August 9, 2023
SECURITIES AMERICA, INC.
January 6, 2004 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 1, 2004 - August 3, 2020
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - August 3, 2020
VOYA FINANCIAL ADVISORS, INC.
January 1, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
October 14, 1998 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
October 10, 1997 - March 26, 1998
GUARANTY BROKERAGE SERVICES, INC.
September 14, 1995 - August 22, 1997
MERCANTILE INVESTMENT SERVICES, INC.
February 3, 1995 - September 6, 1995
NATHAN & LEWIS SECURITIES, INC.
June 7, 1993 - January 8, 1995
NATIONSSECURITIES
July 20, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 24, 1992 - August 27, 1992
NATHAN & LEWIS SECURITIES, INC.
March 23, 1990 - September 21, 1990
OPPENHEIMER & CO. INC.
November 6, 1987 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
July 23, 1986 - October 26, 1987
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
