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SS

Stuart Shaw

FRONTIER SECURITIES
Richmond, VA 23233
Some features on this profile are disabled
CRD#: 3196012
SS

Professional summary

Stuart Shaw, who also goes by Stuart Lee Shaw, is a registered financial professional currently at FRONTIER SECURITIES located in Richmond, Virginia.

Stuart is registered as a RR (Registered Representative) and started their career in finance in 1999. Stuart has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stuart Lee Shaw

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stuart Shaw's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 24, 2026 - Present

FRONTIER SECURITIES

Office #1: 3307 Church Road, Suite 220, Richmond, VA 23233
BD
CRD#: 136102
Richmond, VA
Past

July 29, 2025 - March 11, 2026

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

November 18, 2024 - July 17, 2025

BRITEHORN SECURITIES

BD
CRD#: 36402
DENVER, CO
Past

February 16, 2022 - May 17, 2024

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA
CRD#: 110353
Aspen, CO
Past

January 11, 2022 - May 17, 2024

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

March 29, 2010 - February 10, 2022

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

March 16, 2010 - January 15, 2022

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

June 3, 2004 - November 24, 2008

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

March 17, 1999 - May 24, 2004

GPC SECURITIES, INC.

BD
CRD#: 14007
ATLANTA, GA

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
Colorado
(2/24/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/24/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/6/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTIER SECURITIES
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3307 Church Road Suite 220, Richmond, VA 23233
Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233
Phone number
(804) 918-2368
Established
Georgia since 05/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASPEN PARTNERS, LTDMANAGING MEMBER
TERRY, DEBORAH HOLLANDFINOP/CFO5680197
VICK, GEORGE DAVIS IVCHIEF COMPLIANCE OFFICER3006623

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.

Company Information

FRONTIER SECURITIES

CRD#: 136102Richmond, VA 23233

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