Alex S. Shaw
Professional summary
Alex S Shaw, who also goes by Alex Shaw, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Houston, Texas.
Alex is registered as a RR (Registered Representative) and started their career in finance in 1996. Alex has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alex S Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 6901 Corporate Drive #128, Houston, TX 77036October 4, 2013 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
February 22, 2012 - November 11, 2013
EAST / WEST SECURITIES CORP.
March 26, 2004 - March 3, 2010
D.B. FRANK INVESTMENTS, INC.
August 21, 2002 - December 3, 2003
1ST DISCOUNT BROKERAGE, INC.
January 9, 2002 - August 21, 2002
ACUMENT SECURITIES, INC.
July 12, 2000 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
September 18, 1997 - July 12, 2000
ACUMENT SECURITIES, INC.
May 16, 1996 - September 17, 1997
YOUNGBLOOD SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2025)
(1/2/2025)
(1/2/2025)
(1/2/2025)
(12/5/2024)
(1/2/2025)
Exams
FINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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