Julia B. 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.
Julia Bramble Shaw, who also goes by Julia Bramble, Julia B Shaw, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1998. Julia had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - July 29, 2016
CAPE FEAR SECURITIES, INC.
August 24, 2011 - November 30, 2012
CAPE FEAR SECURITIES, INC.
August 19, 2011 - November 30, 2012
CAPE FEAR SECURITIES, INC.
April 3, 2006 - January 24, 2011
BB&T INVESTMENT SERVICES, INC.
March 21, 2006 - January 24, 2011
BB&T INVESTMENT SERVICES, INC.
July 22, 2005 - March 21, 2006
BB&T ASSET MANAGEMENT, INC.
November 21, 2001 - December 31, 2004
BB&T INVESTMENT SERVICES, INC.
October 1, 2000 - December 5, 2001
WELLS FARGO CLEARING SERVICES, LLC
August 7, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 11, 1998 - July 27, 1999
FIRST UNION BROKERAGE SERVICES, INC.
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
CAPE FEAR SECURITIES, INC.
CRD#: 156359 / SEC#: , 8-68786
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON, JOSEPH DEWEY | VICE-PRESIDENT, CCO, FINOP | 2351290 |
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.
