Jaswant I. Shaw

EISRC

Newberg, OR

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CRD#: 4146228

Professional summary

Jaswant Irwin Shaw, who also goes by Jay Shaw, is a registered financial advisor currently at EISRC located in Newberg, Oregon.

Jaswant is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jaswant has worked at 2 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay 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.

Jay Shaw is employed by Name of Business: BCBS Business is not Investment Related Nature of Business: Healthcare Insurance Software Position/Title: Sr Enterprise Architect Works approximately 40Hours per week for the business at place of residence Works approximately 40 Hours per week during securities trading hours Jay Shaw performs software architecture duties

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jaswant Irwin 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

January 11, 2013 - Present

EISRC

RIA

CRD#: 164031

Newberg, OR

Past

May 15, 2000 - January 5, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(1/11/2013)

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 65

Date: 3/17/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/15/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 6/3/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/12/2000

General Securities Representative Examination

Current Firm

EISRC

EISRC | EMPLOYEE & INSTITUTION SECURITIES RESEARCH CORPORATION

CRD#: 164031 / SEC#:

Oregon

Registered Investment Advisory firm - (1/11/2013 Approved)

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Contact information

Main Address

Newberg, OR

Mailing Address

Phone number

(503) 332-8473

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 4,565,645

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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Jaswant I. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jaswant Irwin Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

EISRC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2012

Series 66

Date: 6/15/2000

Series 31

Date: 6/3/2000

Series 7

Date: 5/12/2000

Current Firm

EISRC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EISRC

TRUST BUT VERIFY

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