AS
Andrew R. Shaw
EQUITABLE DISTRIBUTORS
EXTON, PA
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CRD#: 2768361
AS
Professional summary
Andrew Robert Shaw, who also goes by Andrew R Shaw, Andy Shaw, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Exton, Pennsylvania.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 7 firms and has passed the Series 63, Series 3, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew R Shaw | Andy Shaw
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Robert Shaw's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 19, 2025 - Present
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
EXTON, PA
Past
December 3, 2012 - January 6, 2025
HARTFORD FUNDS DISTRIBUTORS, LLC
BD
CRD#: 45995
Exton, PA
Past
May 22, 2012 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
RADNOR, PA
Past
October 8, 2010 - November 11, 2011
PERSHING LLC
BD
CRD#: 7560
KING OF PRUSSIA, PA
Past
July 11, 2000 - September 6, 2000
ING FUNDS DISTRIBUTOR, INC.
BD
CRD#: 36461
WILMINGTON, DE
Past
July 6, 2000 - August 31, 2010
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
October 15, 1999 - February 24, 2000
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
July 15, 1996 - October 14, 1999
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/23/2025)
RR
Alaska(10/23/2025)
RR
Arizona(10/23/2025)
RR
Arkansas(10/23/2025)
RR
California(10/23/2025)
RR
Colorado(10/23/2025)
RR
Connecticut(10/23/2025)
RR
Delaware(10/23/2025)
RR
District of Columbia(10/23/2025)
RR
Florida(10/23/2025)
RR
Georgia(10/23/2025)
RR
Hawaii(10/23/2025)
RR
Idaho(10/23/2025)
RR
Illinois(10/23/2025)
RR
Indiana(10/23/2025)
RR
Iowa(10/23/2025)
RR
Kansas(10/23/2025)
RR
Kentucky(10/23/2025)
RR
Louisiana(10/23/2025)
RR
Maine(10/23/2025)
RR
Maryland(10/23/2025)
RR
Massachusetts(10/23/2025)
RR
Michigan(10/23/2025)
RR
Minnesota(10/23/2025)
RR
Mississippi(10/23/2025)
RR
Missouri(10/23/2025)
RR
Montana(10/23/2025)
RR
Nebraska(10/23/2025)
RR
Nevada(10/23/2025)
RR
New Hampshire(10/23/2025)
RR
New Jersey(10/23/2025)
RR
New Mexico(10/23/2025)
RR
New York(10/23/2025)
RR
North Carolina(10/23/2025)
RR
North Dakota(10/23/2025)
RR
Ohio(10/23/2025)
RR
Oklahoma(10/23/2025)
RR
Oregon(10/23/2025)
RR
Pennsylvania(9/19/2025)
RR
Puerto Rico(10/23/2025)
RR
Rhode Island(10/23/2025)
RR
South Carolina(10/23/2025)
RR
South Dakota(10/23/2025)
RR
Tennessee(10/23/2025)
RR
Texas(10/23/2025)
RR
Utah(10/23/2025)
RR
Vermont(10/23/2025)
RR
Virginia(10/23/2025)
RR
Washington(10/23/2025)
RR
West Virginia(10/23/2025)
RR
Wisconsin(10/23/2025)
RR
Wyoming(10/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
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.
