RS
Ryan T. Shaw
CETERA INVESTMENT ADVISERS LLC
WATERLOO, IA 50701
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CRD#: 4817844
RS
Professional summary
Ryan Thomas Shaw, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Waterloo, Iowa and CETERA ADVISORS LLC located in Waterloo, Iowa.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ryan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: FINANCIAL RESOURCE ADVISORS, LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: SECURITIES, ADVISORY, INSURANCE ; START DATE: 01/2020 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF TRADING HOURS PER WEEK: 32.5 ; POSITION/TITLE/RELATIONSHIP: PARTNER / INVESTMENT ADVISOR REPRESENTATIVE ; BRIEF DESCRIPTION OF DUTIES: SECURITIES, ADVISORY, INSURANCE ; 3. NAME OF OTHER BUSINESS: RTS FINANCIAL, INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: S CORP HOLDING COMPANY START DATE: 1/2016 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF TRADING HOURS PER WEEK: 2 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: HOLDS UNITS OF FRA LLC 4. NAME OF OTHER BUSINESS: CEDAR VALLEY SPORTS COMMISSION; INVESTMENT RELATED: NO; ADDRESS: 500 JEFFERSON ST WATERLOO IA, 50701; NATURE OF BUSINESS: NON PROFIT; START DATE: 1/2016; APX NUMBER OF HOURS PER WEEK: 0-5; APX NUMBER OF TRADING HOURS PER WEEK: VARIES; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS, PLANNING SESSIONS AND SPECIAL EVENTS, HIRE AND EVALUATE DIRECTOR ; 5. NAME OF OTHER BUSINESS: BOYS & GIRLS CLUB OF THE CEDAR VALLEY ; INVESTMENT RELATED: NO ADDRESS: 515 LIME ST, WATERLOO, IA 50703 ; NATURE OF BUSINESS: YOUTH COMMUNITY SERVICE ; START DATE: 09/2018 ; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES:PROVIDE OVERSIGHT OF FINANCIAL ACTIVITY OF THE CLUB ; 6. NAME OF OTHER BUSINESS: FRA TOWER PARK, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: PART OWNER, BRIEF DESCRIPTION OF DUTIES: OFFICE BUILDING OWNERSHIP; 7. 7) NAME OF OTHER BUSINESS: WATERLOO COMMUNITY SCHOOLS FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 201 TOWER PARK DRIVE, WATERLOO, IA 50701, NATURE OF BUSINESS: NON-PROFIT, START DATE: 08/2024, POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN MONTHLY MEETINGS, LEAD BY THE EXECUTIVE DIRECTOR TO FUND, INSPIRE, AND PROMOTE EDUCATIONAL OPPORTUNITIES FOR ALL IN THE WATERLOO SCHOOLS.;
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Thomas Shaw's 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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 816 Tower Park Dr, Waterloo, IA 50701RIA
CRD#: 105644
WATERLOO, IA
Current
April 21, 2008 - Present
CETERA ADVISORS LLC
Office #1: 816 Tower Park Dr, Waterloo, IA 50701BD
CRD#: 10299
Waterloo, IA
Past
April 21, 2008 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 21, 2005 - April 3, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WATERLOO, IA
Past
June 29, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 29, 2005 - April 3, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WATERLOO, IA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(1/4/2012)
RR
Arkansas(11/9/2015)
RR
California(2/25/2015)
RR
Colorado(1/9/2009)
RR
Florida(8/31/2017)
RR
Illinois(12/20/2019)
RR
Iowa(4/21/2008)
IAR
Iowa(3/21/2024)
RR
Kansas(1/6/2015)
RR
Massachusetts(3/2/2017)
RR
Michigan(6/6/2023)
RR
Minnesota(3/2/2017)
RR
Missouri(8/13/2013)
RR
Nebraska(8/30/2018)
RR
New Jersey(12/8/2023)
RR
North Carolina(10/30/2025)
RR
Ohio(8/9/2021)
RR
South Carolina(1/4/2022)
RR
Tennessee(7/10/2023)
RR
Texas(8/15/2018)
IAR
Texas(3/21/2024)
RR
Washington(1/17/2018)
RR
Wisconsin(3/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
