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DS

Douglas J. Shaw

Some features on this profile are disabled
CRD#: 2466366
DS

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.

Douglas James Shaw was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 26, 2018 - December 31, 2021

WHITAKER SECURITIES LLC

BD
CRD#: 121465
MANALAPAN, NJ
Past

May 31, 2017 - June 29, 2018

LEK SECURITIES CORPORATION

BD
CRD#: 33135
Manalpan, NJ
Past

December 18, 2014 - June 1, 2017

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
MANALAPAN, NJ
Past

October 9, 2012 - December 17, 2014

SEIDEL & CO., LLC

BD
CRD#: 42821
FREEHOLD, NJ
Past

April 27, 2011 - August 29, 2012

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

May 23, 2008 - July 12, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

October 4, 2004 - April 15, 2005

SEIDEL & CO., LLC

BD
CRD#: 42821
NEW YORK, NY
Past

May 2, 2003 - September 30, 2004

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY
Past

April 23, 2001 - March 17, 2003

BEAR WAGNER SPECIALISTS LLC

BD
CRD#: 32691
NEW YORK, NY
Past

August 1, 1995 - April 23, 2001

WSM HOLDINGS, L.L.C.

BD
CRD#: 31352
NEW YORK, NY
Past

April 20, 1994 - August 7, 1995

WAGNER, STOTT & CO.

BD
CRD#: 3690
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1994
General Securities Representative Examination

Current Firm

WS
WHITAKER SECURITIES LLC
QUEST BROKERS | WHITAKER SECURITIES LLC

CRD#: 121465 / SEC#: , 8-65419

BD
Terminated by SEC on 09/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICOSIA, ROSALIE MARGARETCHIEF COMPLIANCE OFFICER, CRCP4239124

Disclosures

Regulatory Event6

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.

Company Information

WHITAKER SECURITIES LLC

CRD#: 121465

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