William D. 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.
William Dwight Shaw JR, who also goes by Skip Shaw, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1990. William had worked at 2 firms and has passed the Series 24 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 1993 - December 15, 1999
AUBREY G. LANSTON & CO., INC.
January 3, 1990 - August 25, 1992
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
AUBREY G. LANSTON & CO., INC.
CRD#: 19695 / SEC#: , 8-46595
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDUSTRIAL BANK OF JAPAN, LTD. | 100% OWNER | |
| DEBS, RICHARD ABRAHAM | MEMBER OF THE BOARD OF DIRECTORS | |
| FERNANDEZ, MANUEL PETER | CHIEF FINANCIAL OFFICER | 4009392 |
| FLAHERTY, EILEEN THERESE | PRESIDENT & CEO,GENERAL COUNSEL, MEMBER OF BOARD OF DIRECTORS | |
| JONES, DAVID MILTON | CHAIRMAN OF THE BOARD | |
| KAKITSUBO, SEIJI | MEMBER OF THE BOARD OF DIRECTORS | 2058404 |
| NOGUCHI, SHOJI | MEMBER OF THE BOARD OF DIRECTORS | |
| TOKUOKA, KUNIMI | MEMBER OF THE BOARD OF DIRECTORS | 3168099 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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