Edward D. 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.
Edward Dewayne Shaw, who also goes by Dewayne Edward Shaw, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 55, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2012 - February 21, 2017
BRADESCO SECURITIES, INC.
August 12, 2008 - January 14, 2010
RAYMOND JAMES & ASSOCIATES, INC.
October 28, 2004 - April 25, 2008
GOLDMAN SACHS & CO. LLC
December 22, 1997 - September 1, 1998
SALOMON BROTHERS INC.
January 31, 1997 - March 11, 2004
CITIGROUP GLOBAL MARKETS INC.
September 10, 1990 - January 17, 1997
MORGAN STANLEY & CO. LLC
November 25, 1987 - August 28, 1990
SALOMON BROTHERS INC.
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
Series 55
Date: 3/5/2009
Limited Representative-Equity Trader ExamCurrent Firm
BRADESCO SECURITIES, INC.
CRD#: 104347 / SEC#: , 8-52806
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO BRADESCO S.A. | SOLE SHAREHOLDER OF APPLICANT'S COMMON STOCK | |
| BEHAR, ISABELA MARTA | CHIEF COMPLIANCE OFFICER | 2940509 |
| BOETGER, BRUNO D'AVILA MELO | CHAIRMAN OF THE BOARD OF DIRECTORS | 2505487 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| MARQUES, RUI MIGUEL ALEIXO | VICE-CHAIRMAN OF THE BOARD OF DIRECTORS | 7304773 |
| PORTNOFF, DAVID ROSS | FINANCIAL AND OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 2977967 |
| REITZFELD, FERNANDO RAIZ | CHIEF EXECUTIVE OFFICER / MEMBER OF THE BOARD OF DIRECTORS | 7514819 |
Red Flags
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