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ZS

Zachary I. Shaw

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 4238728
ZS

Professional summary

Zachary Ian Shaw is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Zachary is registered as a RR (Registered Representative) and started their career in finance in 2004. Zachary has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Zachary Ian Shaw's CRS (Customer Relationship Summary).
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

June 4, 2025 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

June 12, 2024 - March 14, 2025

ABERDEEN FUND DISTRIBUTORS, LLC

BD
CRD#: 146230
PHILADELPHIA, PA
Past

December 5, 2022 - June 5, 2024

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

March 8, 2021 - August 2, 2022

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

August 16, 2017 - February 25, 2021

CROSSMARK DISTRIBUTORS, INC.

BD
CRD#: 14970
HOUSTON, TX
Past

August 6, 2013 - March 20, 2017

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

April 1, 2006 - August 1, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
IRVINE, CA
Past

April 6, 2004 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/5/2025)
RR
Alaska
(6/4/2025)
RR
Arizona
(6/4/2025)
RR
Arkansas
(6/4/2025)
RR
California
(6/4/2025)
RR
Colorado
(6/4/2025)
RR
Connecticut
(6/4/2025)
RR
Delaware
(6/4/2025)
RR
District of Columbia
(6/4/2025)
RR
Florida
(6/4/2025)
RR
Georgia
(6/4/2025)
RR
Hawaii
(6/4/2025)
RR
Idaho
(6/4/2025)
RR
Illinois
(6/4/2025)
RR
Indiana
(6/4/2025)
RR
Iowa
(6/4/2025)
RR
Kansas
(6/4/2025)
RR
Kentucky
(6/4/2025)
RR
Louisiana
(6/4/2025)
RR
Maine
(6/4/2025)
RR
Maryland
(6/4/2025)
RR
Massachusetts
(6/4/2025)
RR
Michigan
(6/4/2025)
RR
Minnesota
(6/4/2025)
RR
Mississippi
(6/4/2025)
RR
Missouri
(6/4/2025)
RR
Montana
(6/4/2025)
RR
Nebraska
(6/4/2025)
RR
Nevada
(6/4/2025)
RR
New Hampshire
(6/4/2025)
RR
New Jersey
(6/4/2025)
RR
New Mexico
(6/4/2025)
RR
New York
(6/4/2025)
RR
North Carolina
(6/4/2025)
RR
North Dakota
(6/4/2025)
RR
Ohio
(6/16/2025)
RR
Oklahoma
(6/4/2025)
RR
Oregon
(6/4/2025)
RR
Pennsylvania
(6/4/2025)
RR
Rhode Island
(6/4/2025)
RR
South Carolina
(6/4/2025)
RR
South Dakota
(6/4/2025)
RR
Tennessee
(6/4/2025)
RR
Texas
(6/4/2025)
RR
Utah
(6/4/2025)
RR
Vermont
(6/4/2025)
RR
Virginia
(6/4/2025)
RR
Washington
(6/4/2025)
RR
West Virginia
(6/4/2025)
RR
Wisconsin
(6/4/2025)
RR
Wyoming
(6/4/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/11/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/5/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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