James 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.
James Guy Shaw, who also goes by Jim Shaw, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 4 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2015 - August 9, 2016
DFPG INVESTMENTS, LLC
September 30, 2010 - October 31, 2013
ORCHARD SECURITIES, LLC
September 16, 2004 - April 28, 2011
OMNI BROKERAGE, INC.
June 13, 2003 - September 8, 2004
DIRECT CAPITAL SECURITIES, 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
DFPG INVESTMENTS, LLC
CRD#: 155576 / SEC#: 801-107896, 8-68730
Contact information
FINRA licenses (52 States and Territories)
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.
