SS
Stephen J. Shaw
SEAPORT GLOBAL SECURITIES LLC
Greenwich, CT 06831
Some features on this profile are disabled
CRD#: 3035252
SS
Professional summary
Stephen James Shaw, who also goes by Stephen James Shaw Mr, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Greenwich, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 17 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen James Shaw Mr
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 Stephen James 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
May 27, 2015 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 2 Greenwich Office Park Suite 150, Greenwich, CT 06831BD
CRD#: 116270
Greenwich, CT
Past
October 10, 2012 - March 26, 2015
PINE SECURITIES USA LLC
BD
CRD#: 161289
NEW YORK, NY
Past
February 8, 2012 - October 3, 2012
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
December 1, 2008 - December 31, 2011
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, NY
Past
May 19, 2006 - November 20, 2008
PORTIGON SECURITIES INC.
BD
CRD#: 10050
NEW YORK, NY
Past
May 18, 1998 - March 1, 2006
BBVA SECURITIES INC.
BD
CRD#: 27060
NEW YORK, NY
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(5/27/2015)
RR
Alaska(5/27/2015)
RR
Arizona(5/27/2015)
RR
Arkansas(5/27/2015)
RR
California(5/27/2015)
RR
Colorado(5/27/2015)
RR
Connecticut(5/27/2015)
RR
Delaware(5/27/2015)
RR
District of Columbia(5/27/2015)
RR
Florida(5/27/2015)
RR
Georgia(5/27/2015)
RR
Hawaii(5/27/2015)
RR
Idaho(5/27/2015)
RR
Illinois(5/27/2015)
RR
Indiana(5/27/2015)
RR
Iowa(5/27/2015)
RR
Kansas(5/27/2015)
RR
Kentucky(5/27/2015)
RR
Louisiana(5/27/2015)
RR
Maine(5/27/2015)
RR
Maryland(5/27/2015)
RR
Massachusetts(5/27/2015)
RR
Michigan(5/27/2015)
RR
Minnesota(5/27/2015)
RR
Mississippi(5/27/2015)
RR
Missouri(5/27/2015)
RR
Montana(5/27/2015)
RR
Nebraska(5/27/2015)
RR
Nevada(5/27/2015)
RR
New Hampshire(5/27/2015)
RR
New Jersey(5/27/2015)
RR
New Mexico(5/27/2015)
RR
New York(5/27/2015)
RR
North Carolina(5/28/2015)
RR
North Dakota(5/27/2015)
RR
Ohio(5/28/2015)
RR
Oklahoma(5/27/2015)
RR
Oregon(5/27/2015)
RR
Pennsylvania(5/27/2015)
RR
Rhode Island(5/27/2015)
RR
South Carolina(5/27/2015)
RR
South Dakota(5/27/2015)
RR
Tennessee(5/27/2015)
RR
Texas(5/27/2015)
RR
Utah(5/27/2015)
RR
Vermont(5/27/2015)
RR
Virginia(5/27/2015)
RR
Washington(5/27/2015)
RR
West Virginia(5/27/2015)
RR
Wisconsin(5/27/2015)
RR
Wyoming(5/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/14/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 17
Date: 5/15/1998
Limited Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
