John C. 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.
John Chester Shaw, who also goes by John C Shaw III, John C Shaw, John Chester Shaw III, John Shaw, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 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
February 22, 2016 - August 16, 2016
CAPITAL GUARDIAN, LLC
September 11, 2014 - April 13, 2016
UAT RESOURCES, LLC
May 10, 2013 - December 19, 2014
SOURCE CAPITAL GROUP, INC.
September 16, 2010 - August 4, 2011
KNIGHT CAPITAL AMERICAS, L.P.
July 27, 2007 - September 16, 2010
SG AMERICAS SECURITIES, LLC
December 19, 2006 - May 24, 2007
JEFFERIES EXECUTION SERVICES, INC.
September 20, 2001 - May 24, 2007
JEFFERIES LLC
May 18, 2001 - September 20, 2001
KNIGHT CAPITAL AMERICAS, L.P.
June 27, 2000 - August 31, 2001
KNIGHT CAPITAL MARKETS LLC
March 7, 2000 - May 31, 2000
KNIGHT CAPITAL AMERICAS, L.P.
June 19, 1992 - February 29, 2000
VIRTU ITG LLC
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: 3/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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