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GS

Graham H. Shaw

NATIONAL FINANCIAL SERVICES LLC
Boston, MA 02210
Some features on this profile are disabled
CRD#: 3255889
GS

Professional summary

Graham Holmes Shaw, who also goes by Graham Shaw, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.

Graham is registered as a RR (Registered Representative) and started their career in finance in 2003. Graham has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Graham 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 Graham Holmes 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®
None

Experience

Current

October 22, 2019 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 155 Seaport Blvd., Boston, MA 02210
BD
CRD#: 13041
Boston, MA
Past

November 28, 2016 - August 2, 2019

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

August 10, 2007 - October 13, 2016

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
SMITHFIELD, RI
Past

May 2, 2006 - July 6, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

August 8, 2003 - July 18, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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: 11/9/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/2003
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/28/2006
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/9/2006
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041 / SEC#: 801-50706, 8-26740

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

Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100

FINRA licenses (53 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DEPOALO, RONALD EDWARDPRESIDENT5995085
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNELECTED MANAGER1862532

Disclosures

Regulatory Event47
Civil Event1
Arbitration14

Red Flags

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Company Information

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041Boston, MA 02210

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