Tim 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.
Tim R Shaw, who also goes by Timothy R Shaw, was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 2008. Tim had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2010 - August 28, 2018
SHAW INVESTMENTS, LLC
October 1, 2008 - December 17, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 21, 2008 - August 4, 2008
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SHAW INVESTMENTS, LLC
CRD#: 141550 / 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.
