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Jeffrey Leroy Shaw

CRD# 4606842·Registered 2002 - 2026
Previously Registered: Being a previously registered professional could mean that Jeffrey 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.

Professional Summary

Jeffrey Leroy Shaw was a registered financial advisor. Jeffrey was a previously registered financial professional and started their career in finance 2002 - 2026. Jeffrey had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

24 years in the financial services industry

Current & Past Employments

CLG LLC·CRD# 282605
RIA
Long Beach, CA
January 29, 2019 - January 5, 2026
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Long Beach, CA
March 6, 2003 - December 31, 2022
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Long Beach, CA
November 22, 2002 - December 31, 2022

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Current Firm

CL
CLG LLC

CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT

CRD#: 282605 / SEC#: 801-108414
RIA
Registered Investment Advisory firm - SEC (9/29/2016 Approved)
California
Registered Investment Advisory firm - California (4/18/2018 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

4821 E 2nd Street, Long Beach, CA 90803

Phone Number

(310) 329-5150

# of Employees

35

SEC notice filing (23 States and Territories)

Registered to provide investment advisory services in 23 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (8/3/2026)

Regulatory Assets Under Management

Total Number of Accounts

2,771

AUM (Assets Under Management)

$1,123,681,197

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

(1) VARIOUS INSURANCE CARRIERS, FIXED INSURANCE, REPRESENTATIVE - SELLS LIFE, ANNUITIES & LTC;
(2) NAME OF OTHER BUSINESS: SHAW & BLASI LLP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CPA FIRM START DATE: 1/2004 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF TRADING HOURS PER WEEK: 10 POSITION/TITLE/RELATIONSHIP: CPA BRIEF DESCRIPTION OF DUTIES: INDEPENDENT CONTRACTOR RELATED TO TAX AND FINANCIAL MATTERS
(3) NAME OF OTHER BUSINESS: HELP BETTER LIVES, INC., INVESTMENT RELATED: NO, ADDRESS: 1716 CATALINA AVENUE, SEAL BEACH, CA 90740, NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, MEMBER AND OFFICER, START DATE: FEBRUARY 2012, APPROX. NUMBER OF HOURS PER MONTH: 8, APPROX. NUMBER OF HOURS DURING TRADING HOURS: N/A, BRIEF DESCRIPTION OF DUTIES: ADVISES ON IMPLEMENTATION OF ACCOUNTING SYSTEMS AND GOVERNMENTAL COMPLIANCE, OCCASIONAL TEACHING IN FOREIGN COUNTRIES, MAINTAIN RELATIONSHIPS WITH OTHER TAX AND ACCOUNTING PROFESSIONALS AND OTHER CHARITABLE CONTRIBUTIONS, CONSULTING;
(4) NAME OF OTHER BUSINESS: INTEGRITY FINANCIAL ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES / FINANCIAL PLANNING; START DATE: 01/2003; POSITION/TITLE/RELATIONSHIP: OWNER / MEMBER; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING;
(5) NAME OF OTHER BUSINESS: BETTER LIVES UK ; INVESTMENT RELATED: NO ; ADDRESS: 100 ABBOTS RD, ABBOTS LANGLEY, HERTS ENGLAND WD50BH ; NATURE OF BUSINESS: CHARITABLE ORGANIZATION ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: TRUSTEE / FINANCIAL OFFICER ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: ADVISE ON IMPLEMENTATION AND MAINTENANCE OF ACCOUNTING SYSTEMS AND GOVERNMENT COMPLIANCE ;

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CL
CLG LLC

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RIA
Registered Investment Advisory firm - SEC (9/29/2016 Approved)
California
Registered Investment Advisory firm - California (4/18/2018 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2003About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2002About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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