GS
Gene R. Shaw
CETERA INVESTMENT ADVISERS LLC
CINCINNATI, OH 45208
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CRD#: 3176257
GS
Professional summary
Gene Raymond Shaw is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA FINANCIAL SPECIALISTS LLC located in Cincinatti, Ohio.
Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Gene has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) GENE R. SHAW/ATTORNEY; NOT INV REL; NATURE OF BUSINESS; ESTATE PLANNING, PROBATE, SMALL BUSINESS, SOME TAX WORK, SOLE PRACTICE WITH WITH COUNSEL RELATIONSHIP TO LARGER FIRM; ATTORNEY; 60 HRS/WK:
2)SELLS HEALTH INS; NOT INV REL; CINCINNATI, OH; ASSURANT, GOLDEN RULE, ANTHEM BLUE CROSS; START 6/2010; HRS/WK AS NEEDED:
3)ADMINISTRATOR WWA OF THE ESTATE OF ROBERT L WILLIAMS SR., NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, LEGAL, STARTED 12/2018, POSITION/TITLE/RELATIONSHIP: ATTORNEY, APX 2 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ADMINISTER THE ESTATE.
CRS (Client Relationship Summary) - RIA
Click below to view Gene Raymond 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
February 1, 2005 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3322 Erie Avenue Suite 1, Cincinnati, OH 45208RIA
CRD#: 105644
CINCINNATI, OH
Current
January 1, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3322 Erie Avenue Suite 1, Cincinatti, OH 45208BD
CRD#: 10358
Cincinatti, OH
Past
April 13, 1999 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Florida(1/2/2025)
RR
Idaho(4/17/2015)
RR
Indiana(8/3/2005)
RR
Kentucky(1/1/2004)
RR
Ohio(1/1/2004)
IAR
Ohio(2/1/2005)
RR
Washington(10/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cincinnati, OH 45208TRUST BUT VERIFY
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