Gary H. 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.
Gary Howard Shaw was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1981. Gary had worked at 7 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
February 16, 2011 - March 20, 2012
CANTELLA & CO., INC.
January 31, 2011 - March 20, 2012
CANTELLA & CO., INC.
April 10, 2008 - February 9, 2009
JESUP & LAMONT SECURITIES CORP
April 10, 2008 - February 9, 2009
JESUP & LAMONT SECURITIES CORP
November 4, 2003 - March 27, 2008
RBC CAPITAL MARKETS, LLC
March 9, 2002 - March 27, 2008
RBC CAPITAL MARKETS, LLC
December 2, 1991 - March 9, 2002
TUCKER ANTHONY INCORPORATED
January 23, 1990 - December 16, 1991
SUTRO & CO. INCORPORATED
January 18, 1985 - January 31, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 23, 1984 - January 22, 1985
A. G. EDWARDS & SONS, INC.
June 23, 1981 - April 19, 1984
SUTRO & CO. INCORPORATED
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
