Kenneth R. Shaw
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.
Kenneth Raymond Shaw, who also goes by Ken Shaw, Kenneth R Shaw, Kenneth Raymond Shaw, Kenneth Shaw, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2000. Kenneth had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2016 - July 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 14, 2016 - July 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2014 - April 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 2014 - April 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2014 - July 1, 2014
PERSHING LLC
November 7, 2007 - March 5, 2014
TRUIST INVESTMENT SERVICES, INC.
September 5, 2007 - March 5, 2014
TRUIST INVESTMENT SERVICES, INC.
February 16, 2002 - September 19, 2003
TRUIST INVESTMENT SERVICES, INC.
September 20, 2001 - February 16, 2002
THE HUNTINGTON INVESTMENT COMPANY
November 24, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
May 4, 2000 - October 13, 2000
IDS LIFE INSURANCE COMPANY
May 4, 2000 - October 13, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
