Lance R. Shaw

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CRD#: 4065444

Professional summary

Lance R Shaw was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lance is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Lance had worked at 8 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC, LPL FINANCIAL LLC, STIFEL NICOLAUS & COMPANY INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, JANNEY MONTGOMERY SCOTT LLC, SEI INVESTMENTS DISTRIBUTION CO..

Question & Answer

Are you a "fiduciary"?

Aliases

Lance R. 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

May 19, 2015 - January 29, 2016

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

May 13, 2015 - December 31, 2015

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

HAVERFORD, PA

Past

December 17, 2012 - April 24, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

WYNNEWOOD, PA

Past

December 17, 2012 - April 24, 2015

LPL FINANCIAL LLC

CRD#: 6413

WYNNEWOOD, PA

Past

August 22, 2008 - December 18, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

CONSHOHOCKEN, PA

Past

August 22, 2008 - December 18, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

CONSHOHOCKEN, PA

Past

August 22, 2007 - August 20, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SPRINGFIELD, PA

Past

August 22, 2007 - August 20, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SPRINGFIELD, PA

Past

September 13, 2005 - August 28, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHILADELPHIA, PA

Past

July 23, 2004 - August 28, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHILADELPHIA, PA

Past

October 23, 2000 - August 19, 2004

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

March 28, 2000 - November 7, 2000

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

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".

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/29/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2000

General Securities Representative Examination

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Phone number

(407) 254-1500

Established

Florida since 07/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT, LLC	OWNER
COFRANCESCO, EDWARD RICHARD	CEO	2305035
LAMPMAN, MATTHEW EDWARD	PRESIDENT/CHIEF OPERATING OFFICER	6132493
MOORE, ANN KATHERINE	CHIEF BUSINESS DEVELOPMENT OFFICER	5535928
NICHOLSON, MYRA PEARLE	CHIEF LEGAL OFFICER, CHIEF RISK OFFICER	2740029
WEINBERGER, DAVID S	REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER	2676116
WEISS, RICHARD JAY	CHIEF COMPLIANCE OFFICER, CHIEF AML CCO	2523174

Disclosures

Regulatory Event	8
Arbitration	2

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.

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Firm Stability Insights

Lance R. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JANNEY MONTGOMERY SCOTT LLC

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2005

Series 63

Date: 5/25/2000

SIE

Date: 1/29/2016

Series 7

Date: 3/27/2000

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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