Beatrice Albrecht Shaw

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CRD#: 230520

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.

Beatrice Albrecht Shaw, who also goes by Beatrice Albrecht, Beatrice Laventer Grobstein, was a registered financial advisor .

Beatrice is a previously registered financial advisor and started their career in finance in 1967. Beatrice had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Beatrice Albrecht | Beatrice Laventer Grobstein

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

December 8, 2006 - July 17, 2009

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BOCA RATON, FL

Past

November 7, 2006 - July 17, 2009

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BOCA RATON, FL

Past

February 11, 2000 - October 16, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BOCA RATON, FL

Past

February 11, 2000 - October 16, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOCA RATON, FL

Past

July 31, 1993 - February 24, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 26, 1979 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

October 6, 1975 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

March 12, 1974 - March 19, 1980

EDWARDS & HANLY

CRD#: 6554

Past

October 12, 1970 - April 27, 1974

DUPONT WALSTON, INCORPORATED

CRD#: 870

Past

May 29, 1967 - April 30, 1971

HIRSCH & CO.

CRD#: 408

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".

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 6/1/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 5/26/1967

Registered Representative Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

13,966

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (12/1/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (12/1/2025)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (6/30/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/20/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES FINANCIAL, INC.	HOLDING COMPANY
BARKO, SHAWN JOSEPH	CHIEF COMPLIANCE OFFICER	2690394
BUNN, JAMES EDWARD	DIRECTOR	3130320
CURTIS, SCOTT	DIRECTOR	1707935
DELEON, ALLYSSA NICOLE	PRINCIPAL FINANCIAL OFFICER / FINOP	6902665
ELWYN, TASHTEGO SPRING	PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR	2319098
MARTIN, PHILIP ROGER	RIA CHIEF COMPLIANCE OFFICER	2613565
RUST, KEITH G	DIRECTOR, PRINCIPAL OPERATIONS OFFICER	5915636
SANTELLI, JONATHAN	GENERAL COUNSEL / SECRETARY	6306997
SICKLING, JAMES PHILIP	DIRECTOR	1240810

Regulatory assets under management

Total Number of Accounts	1,070,028
AUM (Assets Under Management)	$ 433,814,330,581

Disclosures

Regulatory Event	181
Arbitration	72

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	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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Beatrice Albrecht Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

EDWARDS & HANLY

DUPONT WALSTON, INCORPORATED

HIRSCH & CO.

Primary Firm SEC Registration

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1992

Series 63

Date: 8/18/1981

PC

Date: 6/1/1977

Series 1

Date: 5/26/1967

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES & ASSOCIATES, INC.

TRUST BUT VERIFY

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