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Robert Shaw

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CRD#: 1571189
RS

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.

Robert Shaw, who also goes by Collins Shaw, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Collins 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)

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 29, 2018 - June 30, 2021

WHITAKER SECURITIES LLC

BD
CRD#: 121465
MANALAPAN, NJ
Past

May 31, 2017 - June 29, 2018

LEK SECURITIES CORPORATION

BD
CRD#: 33135
Manalpan, NJ
Past

December 18, 2014 - June 1, 2017

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
MANALAPAN, NJ
Past

November 14, 2012 - December 17, 2014

SEIDEL & CO., LLC

BD
CRD#: 42821
FREEHOLD, NJ
Past

May 2, 2012 - November 20, 2012

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

November 6, 2006 - May 7, 2012

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

August 5, 1996 - October 31, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

January 30, 1992 - August 6, 1996

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

March 12, 1991 - November 19, 1991

SFI INVESTMENTS, INC.

BD
CRD#: 21663
NEW YORK, NY
Past

September 28, 1989 - November 28, 1990

EMANUEL AND COMPANY

BD
CRD#: 7309
NEW YORK, NY
Past

March 21, 1989 - September 28, 1989

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

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: 1/10/1990
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: 3/18/1989
General Securities Representative 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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