Randall J. 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.
Randall J Shaw, who also goes by Randy Shaw, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1999. Randall had worked at 10 firms and has passed the Series 65, Series 63, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2015 - December 31, 2015
THE CREDIT STRATEGIST GROUP, LLC
January 9, 2014 - April 8, 2014
CASSEL SALPETER & CO., LLC
December 7, 2012 - January 8, 2014
HEADWATERS BD, LLC
August 22, 2008 - September 17, 2008
G.C. ANDERSEN PARTNERS CAPITAL, LLC
October 10, 2007 - June 12, 2008
UBS SECURITIES LLC
June 11, 2004 - October 8, 2007
CITIGROUP GLOBAL MARKETS INC.
October 1, 2002 - May 27, 2004
ABN AMRO INCORPORATED
December 18, 2000 - October 23, 2001
CREDIT SUISSE SECURITIES (USA) LLC
April 10, 2000 - December 18, 2000
PERSHING LLC
September 30, 1999 - April 13, 2000
CIBC WORLD MARKETS 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
Exams
Current Firm
THE CREDIT STRATEGIST GROUP, LLC
CRD#: 175311 / SEC#: 801-81158
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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