Richard A. Shaw

CETERA INVESTMENT ADVISERS LLC

WEST BOYLSTON, MA 01545

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CRD#: 1592514

Professional summary

Richard Allan Shaw, ChFC®, CLU®, who also goes by Rick Shaw, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Boylston, Massachusetts and CETERA ADVISORS LLC located in West Boylston, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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.

DBA: ADVANCED FINANCIAL GROUP. 9 MAPLE STREET, SUITE 1 WEST BOYLSTON, MA 01583.***OBA: INSURANCE. ADVANCED FINANCIAL GROUP. 9 MAPLE STREET, SUITE 1 WEST BOYLSTON, MA 01583. INSURANCE SALES. AGENT. 12/1986. HRS/MONTH: 24 HRS/TRADING: 8.***OBA: WEST BOYLSTON SCHOOL COMMITTEE. ELECTED POSITION- MEMBER OF COMMITTEE. SCHOOL COMMITTEE BUSINESS. START 4/1/2011. HRS/MONTH: 15 HRS/TRADING: 0.***OBA: 9 MAPLE STREET TRUST. TRUSTEE OF TRUST AND OWNER OF PROPERTY. START 10/19/2010. HRS/MONTH: 15 HRS/TRADING: 5.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allan Shaw's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9 Maple St Ste 1, West Boylston, MA 01545

RIA

CRD#: 105644

WEST BOYLSTON, MA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 9 Maple St Ste 1, West Boylston, MA 01545

CRD#: 10299

West Boylston, MA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

October 27, 2004 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

WEST BOYLSTON, MA

Past

June 12, 2003 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

WEST BOYLSTON, MA

Past

September 29, 1999 - June 9, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 25, 1991 - October 7, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

December 8, 1986 - December 31, 1990

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

December 8, 1986 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/23/2020)

Colorado
(1/14/2021)

Connecticut
(10/3/2016)

Florida
(10/3/2016)

Maine
(10/3/2016)

Massachusetts
(10/3/2016)

IAR

Massachusetts
(3/21/2024)

New Hampshire
(10/3/2016)

North Carolina
(2/3/2023)

Rhode Island
(10/3/2016)

South Carolina
(10/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/4/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Richard A. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allan Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NEW ENGLAND SECURITIES

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1999

Series 63

Date: 3/5/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2005

Series 6

Date: 12/4/1986

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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