Dmond J. Shaw

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CRD#: 6816765

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.

Dmond Jerrol Shaw, who also goes by Dmond J Shaw, was a registered financial professional .

Dmond is a previously registered financial professional and started their career in finance in 2017. Dmond had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dmond J Shaw

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 15, 2024 - January 6, 2026

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

October 16, 2023 - May 13, 2024

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Mesquite, TX

Past

October 16, 2023 - May 13, 2024

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

February 1, 2023 - October 13, 2023

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

IRVING, TX

Past

February 1, 2023 - October 13, 2023

CITIZENS SECURITIES, INC.

CRD#: 39550

IRVING, TX

Past

January 23, 2021 - December 21, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Lewisville, TX

Past

July 21, 2017 - December 21, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

Lewisville, TX

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".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

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

State Security Law Exam

IAR

Series 66

Date: 1/22/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/4/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/16/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/21/2017

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,369

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INSTITUTIONAL (2/11/2026)

CANADA PRIVATE CLIENT (2/11/2026)

UNITED KINGDOM PRIVATE CLIENT (2/11/2026)

PRIVATE CLIENT (2/11/2026)

Regulatory assets under management

Total Number of Accounts	422,516
AUM (Assets Under Management)	$ 386,669,724,038

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.

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Firm Stability Insights

Dmond J. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2021

Series 63

Date: 8/4/2017

Series 7TO

Date: 9/16/2019

SIE

Date: 10/1/2018

Series 6

Date: 7/21/2017

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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