Charles 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.
Charles Richard Shaw, who also goes by Cr Shaw, Charles Richard Shaw, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 6 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2018 - October 4, 2022
MML DISTRIBUTORS, LLC
April 24, 2014 - April 25, 2017
FRANKLIN DISTRIBUTORS, LLC
July 7, 2009 - September 11, 2013
SENTINEL FINANCIAL SERVICES COMPANY
December 1, 2005 - December 22, 2008
FRANKLIN DISTRIBUTORS, LLC
October 11, 2004 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
December 3, 2003 - July 28, 2004
MORGAN STANLEY DW INC.
March 12, 2001 - September 6, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
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
MML DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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