Charles G. 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 Graham Shaw, who also goes by Chuck Shaw, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - February 16, 2022
CAPITAL WEALTH ADVISORS, LLC
January 7, 2008 - July 29, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2008 - July 29, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 10, 2007 - December 13, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
January 4, 2007 - May 2, 2007
INVESTMENT CENTERS OF AMERICA, INC.
September 7, 2006 - May 2, 2007
INVESTMENT CENTERS OF AMERICA, INC.
July 13, 2005 - September 5, 2006
WOODBURY FINANCIAL SERVICES, INC.
February 24, 2003 - November 3, 2003
GENEOS WEALTH MANAGEMENT, INC.
April 12, 2002 - June 26, 2002
WORLD GROUP SECURITIES, INC.
January 15, 2002 - April 12, 2002
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL WEALTH ADVISORS, LLC
CRD#: 150903 / SEC#:
Contact information
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.
