Cindy J. 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.
Cindy Johnson Shaw, who also goes by Cindy Ann Johnson, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 1996. Cindy had worked at 7 firms and has passed the Series 63, Series 86, Series 87 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
December 6, 2011 - August 8, 2014
DISCERN SECURITIES, INC.
January 14, 2005 - September 13, 2006
MOORS & CABOT, INC.
August 12, 2004 - November 9, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
May 28, 2004 - August 16, 2004
CHARLES SCHWAB & CO., INC.
August 1, 2002 - May 28, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
January 31, 2000 - March 7, 2002
CITIGROUP GLOBAL MARKETS INC.
April 9, 1998 - November 3, 1999
BANC OF AMERICA SECURITIES LLC
May 8, 1996 - March 26, 1997
VINING-SPARKS IBG, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DISCERN SECURITIES, INC.
CRD#: 155854 / SEC#: , 8-68748
Contact information
Documents
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.
