Lucille M. Shaw
Professional summary
Lucille M Shaw is a registered financial advisor currently at FINANCES FOR LIFE, LLC located in Carlsbad, California.
Lucille is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Lucille has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lucille M Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2013 - Present
FINANCES FOR LIFE, LLC
Office #1: 5857 Owens Avenue Suite 300, Carlsbad, CA 92008October 10, 2003 - April 25, 2013
NATIONAL PLANNING CORPORATION
October 21, 2002 - April 25, 2013
NATIONAL PLANNING CORPORATION
June 19, 2002 - April 10, 2008
LIFE PLANNING ADVISORS, LLC.
February 16, 2000 - October 29, 2002
SUNAMERICA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/19/2013)
Exams
Current Firm
FINANCES FOR LIFE, LLC
CRD#: 166163 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 1,694,421 |
Red Flags
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