Matthew W. 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.
Matthew Watson Shaw was a registered financial advisor .
Matthew is a previously registered financial advisor and started their career in finance in 2011. Matthew had worked at 5 firms and has passed the Series 66 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
February 13, 2012 - November 1, 2013
SUNROCK FINANCIAL GROUP
November 1, 2011 - March 26, 2012
STERLING ENTERPRISES GROUP, INC.
July 28, 2011 - November 25, 2011
INDEPENDENT FINANCIAL PARTNERS
June 27, 2011 - November 8, 2011
LPL FINANCIAL LLC
April 8, 2011 - May 12, 2011
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUNROCK FINANCIAL GROUP
CRD#: 159647 / SEC#:
Contact information
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.
