William S. 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 Stanley Shaw was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2012 - December 31, 2017
CAPITAL ANALYSTS
June 1, 2012 - December 31, 2017
LINCOLN INVESTMENT
June 1, 2012 - December 31, 2017
LINCOLN INVESTMENT
September 7, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
September 7, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
December 18, 1998 - November 24, 2010
LANGDON SHAW ASSOCIATES, INC.
November 24, 1998 - June 15, 2005
BTS ASSET MANAGEMENT, INC.
August 21, 1985 - November 2, 2011
ALLIED MILLENNIAL PARTNERS, LLC
April 22, 1983 - December 2, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
May 7, 1979 - November 14, 1983
E. F. HUTTON & COMPANY INC
June 15, 1974 - July 22, 1979
HIMCO DISTRIBUTION SERVICES COMPANY
December 15, 1972 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
Series 1
Date: 12/12/1972
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
