Stuart L. Shaw
Professional summary
Stuart Lee Shaw, who also goes by Stuart Lee Shaw, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1999. Stuart has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart Lee Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003November 18, 2024 - July 17, 2025
BRITEHORN SECURITIES
February 16, 2022 - May 17, 2024
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
January 11, 2022 - May 17, 2024
MORGAN STANLEY DISTRIBUTION, INC.
March 29, 2010 - February 10, 2022
EATON VANCE MANAGEMENT
March 16, 2010 - January 15, 2022
EATON VANCE DISTRIBUTORS, INC.
June 3, 2004 - November 24, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 17, 1999 - May 24, 2004
GPC SECURITIES, 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
(7/29/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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