Lionel A. Shaw
Professional summary
Lionel Albert Shaw, who also goes by Lionel A Shaw, is a registered financial advisor currently at CARITAS INVESTMENT ADVISORS LLC located in San Francisco, California.
Lionel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Lionel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lionel Albert Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2019 - Present
CARITAS INVESTMENT ADVISORS LLC
Office #1: 50 California Street Suite 1500, San Francisco, CA 94111November 10, 2016 - December 31, 2018
CARITAS INVESTMENT ADVISORS LLC
October 23, 2012 - December 14, 2016
SUMMIT FINANCIAL GROUP INC
October 23, 2012 - December 14, 2016
SUMMIT BROKERAGE SERVICES, INC.
July 22, 2011 - November 6, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 22, 2011 - November 6, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 21, 2004 - July 26, 2011
FIRST ALLIED SECURITIES, INC.
May 12, 2004 - July 26, 2011
FIRST ALLIED SECURITIES, INC.
January 10, 2002 - May 14, 2004
WELLS FARGO INVESTMENTS, LLC
October 12, 2001 - May 14, 2004
WELLS FARGO INVESTMENTS, LLC
September 24, 1997 - January 29, 1999
HOEFER & ARNETT, INCORPORATED
July 13, 1994 - February 22, 1995
FIDELITY BROKERAGE SERVICES LLC
January 20, 1992 - April 6, 1994
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/23/2019)
Exams
Current Firm
CARITAS INVESTMENT ADVISORS LLC
CRD#: 284777 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 32 |
| AUM (Assets Under Management) | $ 9,500,000 |
Red Flags
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