MS
Mark E. Shaw
PIMCO INVESTMENTS LLC
New York, NY 10019
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CRD#: 6009901
MS
Professional summary
Mark Edward Shaw is a registered financial professional currently at PIMCO INVESTMENTS LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2012. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Edward 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®
NoneExperience
Current
November 8, 2019 - Present
PIMCO INVESTMENTS LLC
Office #1: 1633 Broadway 45th Floor, New York, NY 10019BD
CRD#: 154957
New York, NY
Past
October 22, 2018 - November 4, 2019
PACER ADVISORS, INC.
RIA
CRD#: 137381
Chicago, IL
Past
October 19, 2018 - November 4, 2019
PACER FINANCIAL, INC.
BD
CRD#: 137040
MALVERN, PA
Past
August 3, 2015 - October 17, 2018
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Dallas, TX
Past
October 31, 2012 - October 17, 2018
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
DOWNERS GROVE, IL
Past
January 27, 2012 - October 19, 2012
DESTRA CAPITAL INVESTMENTS LLC
BD
CRD#: 148299
BOZEMAN, MT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/2/2020)
RR
Alaska(1/2/2020)
RR
Arizona(1/2/2020)
RR
Arkansas(1/2/2020)
RR
California(11/8/2019)
RR
Colorado(1/2/2020)
RR
Connecticut(1/2/2020)
RR
Delaware(1/2/2020)
RR
District of Columbia(1/2/2020)
RR
Florida(1/2/2020)
RR
Georgia(1/2/2020)
RR
Hawaii(1/2/2020)
RR
Idaho(1/2/2020)
RR
Illinois(11/8/2019)
RR
Indiana(11/8/2019)
RR
Iowa(11/8/2019)
RR
Kansas(11/8/2019)
RR
Kentucky(11/8/2019)
RR
Louisiana(1/2/2020)
RR
Maine(1/2/2020)
RR
Maryland(10/30/2020)
RR
Massachusetts(1/2/2020)
RR
Michigan(11/8/2019)
RR
Minnesota(11/8/2019)
RR
Mississippi(1/2/2020)
RR
Missouri(11/8/2019)
RR
Montana(1/2/2020)
RR
Nebraska(11/8/2019)
RR
Nevada(1/2/2020)
RR
New Hampshire(1/2/2020)
RR
New Jersey(1/2/2020)
RR
New Mexico(1/2/2020)
RR
New York(11/8/2019)
RR
North Carolina(1/2/2020)
RR
North Dakota(11/8/2019)
RR
Ohio(11/8/2019)
RR
Oklahoma(1/2/2020)
RR
Oregon(1/2/2020)
RR
Pennsylvania(1/2/2020)
RR
Puerto Rico(1/2/2020)
RR
Rhode Island(1/2/2020)
RR
South Carolina(1/2/2020)
RR
South Dakota(11/8/2019)
RR
Tennessee(11/8/2019)
RR
Texas(11/8/2019)
RR
Utah(1/2/2020)
RR
Vermont(1/2/2020)
RR
Virgin Islands(1/2/2020)
RR
Virginia(1/2/2020)
RR
Washington(1/2/2020)
RR
West Virginia(1/2/2020)
RR
Wisconsin(11/8/2019)
RR
Wyoming(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
