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FS

Frederick W. Shaw

Some features on this profile are disabled
CRD#: 3213116
FS

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.

Frederick Ward Charlton Shaw, who also goes by Frederick Ward Charlton Shaw Jr, Frederick Ward Charlton Shaw, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1999. Frederick had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3, Series 55, Series 14, Series 24, Series 4, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick Ward Charlton Shaw Jr | Frederick Ward Charlton 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2016 - April 21, 2023

HAMILTON LANE SECURITIES LLC

BD
CRD#: 281510
Bala Cynwyd, PA
Past

October 1, 2009 - February 18, 2011

NATSOURCE SECURITIES LLC

BD
CRD#: 149645
NEW YORK, NY
Past

March 25, 2005 - March 25, 2008

BEAR STEARNS ASSET MANAGEMENT INC.

RIA
CRD#: 113359
NEW YORK, NY
Past

March 24, 2005 - March 25, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 9, 2003 - March 16, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

May 24, 2002 - June 26, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 28, 2001 - May 6, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 2, 1999 - February 27, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/22/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/22/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 1/22/2004
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/16/2015
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/29/2003
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/27/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/1/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

HL
HAMILTON LANE SECURITIES LLC
HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Mailing Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Phone number
(610) 934-2222
Established
Delaware since 08/17/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HAMILTON LANEMEMBER107876
BRENNAN, STEPHEN RICHARD JRCHIEF EXECUTIVE OFFICER2488932
ROMERO, MONIQUE VICTORIAFINOP6712654
SHIN, ROBERTCHIEF COMPLIANCE OFFICER2683514

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

HAMILTON LANE SECURITIES LLC

CRD#: 281510

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