Arch 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.
Arch William Shaw II, who also goes by Arch "william" Shaw, Arch W Shaw, Arch Wilkinson Shaw II, was a registered financial professional .
Arch is a previously registered financial professional and started their career in finance in 1994. Arch had worked at 4 firms and has passed the Series 65, Series 63 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
April 2, 2013 - October 6, 2023
ARCH INVESTORS, LIMITED
September 24, 2004 - November 10, 2011
ARCH INVESTORS, LIMITED
August 11, 2004 - August 6, 2008
MELLIN SECURITIES, INC.
August 31, 1998 - July 1, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 28, 1994 - July 1, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ARCH INVESTORS, LIMITED
CRD#: 166951 / 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.
