Nina Shaw

LEATHERBACK INVESTMENTS LLC

Randolph, NJ

Some features on this profile are disabled

CRD#: 2932975

Professional summary

Nina Shaw, CFA, who also goes by Nina Dadlani, Nina Shaw, is a registered financial advisor currently at LEATHERBACK INVESTMENTS LLC located in Randolph, New Jersey and DBS INVESTMENT ADVISERS, LLC located in Mendham, New Jersey.

Nina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Nina has worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nina Dadlani | Nina 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.

NS Consulting Management LLC Investment-related? Yes. Address: Mendham, NJ Nature of Business: Consulting Position: Owner Start Date: March 2013 Approximate Hours per Month: 8 Approximate Hours during securities trading hours: 0 Brief description of duties: provide written and analytic data to individuals and advisors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nina Shaw's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

February 28, 2022 - Present

LEATHERBACK INVESTMENTS LLC

RIA

CRD#: 299608

Randolph, NJ

Current

November 27, 2024 - Present

DBS INVESTMENT ADVISERS, LLC

RIA

CRD#: 123283

MENDHAM, NJ

Past

October 29, 2003 - February 10, 2009

FAMILY MANAGEMENT SECURITIES, LLC

CRD#: 44319

NEW YORK, NY

Past

March 5, 2002 - November 12, 2003

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

December 7, 2000 - February 21, 2002

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

April 9, 1998 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

November 14, 1997 - January 15, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DBS INVESTMENT ADVISERS, LLC

ACT TWO FINANCIAL ADVISORS | DBS INVESTMENT ADVISERS, LLC

CRD#: 123283 / SEC#: 801-116815

RIA

Registered Investment Advisory firm - (6/21/2019 Approved)

Michigan

Registered Investment Advisory firm - (6/28/2019 Terminated)

Ohio

Registered Investment Advisory firm - (6/27/2019 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(2/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/24/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/13/1997

General Securities Representative Examination

Current Firm

DBS INVESTMENT ADVISERS, LLC

ACT TWO FINANCIAL ADVISORS | DBS INVESTMENT ADVISERS, LLC

CRD#: 123283 / SEC#: 801-116815

RIA

Registered Investment Advisory firm - (6/21/2019 Approved)

Michigan

Registered Investment Advisory firm - (6/28/2019 Terminated)

Ohio

Registered Investment Advisory firm - (6/27/2019 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1484 Straits Drive Suite 6, Bay City, MI 48706

Mailing Address

Po Box 280, Bay City, MI 48707

Phone number

(800) 327-2377

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DBS INVESTMENT ADVISERS, LLC ADV BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	946
AUM (Assets Under Management)	$ 244,511,904

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nina Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nina Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

DBS INVESTMENT ADVISERS, LLC

FAMILY MANAGEMENT SECURITIES, LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

DBS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1997

Series 63

Date: 11/25/1997

Series 31

Date: 11/24/1997

Series 7

Date: 11/13/1997

Current Firm

DBS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DBS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

Similar Advisors