Anthon H. Shaw
Professional summary
Anthon Horton Shaw, CFA, who also goes by Tony Shaw, is a registered financial advisor currently at RICE HALL JAMES & ASSOCIATES LLC located in San Diego, California.
Anthon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Anthon has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Anthon Horton Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2010 - Present
RICE HALL JAMES & ASSOCIATES LLC
Office #1: 600 West Broadway Suite 1000, San Diego, CA 92101October 11, 2010 - December 15, 2025
FORESIDE FUND SERVICES, LLC
September 2, 2009 - August 4, 2010
LPL FINANCIAL LLC
September 2, 2009 - August 4, 2010
LPL FINANCIAL LLC
December 31, 1997 - March 26, 2009
LPL FINANCIAL LLC
January 14, 1994 - March 26, 2009
LPL FINANCIAL LLC
July 29, 1993 - November 12, 1993
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
RICE HALL JAMES & ASSOCIATES LLC
CRD#: 125410 / SEC#: 801-61905
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/21/2010)
Exams
Current Firm
RICE HALL JAMES & ASSOCIATES LLC
CRD#: 125410 / SEC#: 801-61905
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 1,775,743,710 |
Red Flags
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