SS
Sarah E. Shaw
VEERY CAPITAL
WEST CHESTER, PA 19382
Some features on this profile are disabled
CRD#: 7597315
SS
Professional summary
Sarah Elizabeth Shaw, who also goes by Sarah Steiger, Sarah E Shaw, Sarah E Steiger, is a registered financial advisor currently at VEERY CAPITAL, LLC located in West Chester, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Wilmington, Delaware.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Sarah has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Steiger | Sarah E Shaw | Sarah E Steiger
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) Veery Capital: 1. Name of the other business - Veery Capital (VC) 2. Is the business investment related - Yes 3. Address of the other business - 112 French St Wilmington, DE 19801 4. Nature of the other business - RIA, fee based investments 5. Your position, title, or relationship with the other business - Financial Planning Assosciate 6. The start date of your relationship - 1/13/2023 7. The approximate number of hours/month you devote to the other business - 30 8. The number of hours you devote to the other business during securities trading hours - 30 9. Briefly describe your duties relating to the other business - Financial planning 10. Describe method of compensation (list if advisory fees, salary or other). If other, please describe below. Advisory Fee 2) S.E. Shaw Financial Services: 1. Name of the other business - S.E.Shaw Financial Services 2. Is the business investment related - Yes 3. Address of the other business - 112 Rebecca Dr Downingtown, PA 19335 4. Nature of the other business - Health Insurance sales 5. Your position, title, or relationship with the other business - Insurance Broker 6. The start date of your relationship - 6/1/2009 7. The approximate number of hours/month you devote to the other business -20 8. The number of hours you devote to the other business during securities trading hours - 20 9. Briefly describe your duties relating to the other business - insurance sales and service 10. Describe method of compensation (list if advisory fees, salary or other). If other, please describe below. commission 3) 1. Fixed Insurance 2. Investment Related - Yes 3. See office of employment history 4. Fixed Insurance/annuity 5. Agent 6. 1/12/2023 7. 80 hrs 8. 80 hrs 9. Provide insurance advice based on the needs of client(s). 4) 1. PKSF 2. Investment Related - Yes 3. See office of employment history 4. Fixed Insurance/annuity 5. Agent 6. 1/12/2023 7. 80 hrs 8. 80 hrs 9. Provide insurance advice based on the needs of client(s). 5) 1. MyWellCents 2. Investment related 3. 120 Vantis Dr. #400, Alisa Viejo, CA 92656 4. 401k Participant Education 5. Advisor 6. 6/2023 7. 10 hrs/mo 8. 10 hrs during trading 9. Provide education and one-on-one financial planning for our 401k plan participants. Investment changes are self-directed by the participants and WellCents is a benefit provided by the employer.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Elizabeth 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
June 9, 2023 - Present
VEERY CAPITAL, LLC
Office #1: 24 W Market Street, West Chester, PA 19382RIA
CRD#: 298465
WEST CHESTER, PA
Current
March 3, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 112 S French Suite 202, Wilmington, DE 19801BD
CRD#: 35747
Wilmington, DE
Past
September 2, 2022 - January 17, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
West Chester, PA
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".
VC
VEERY CAPITAL, LLC
AVENUE 1 ADVISORS, LLC | VEERY CAPITAL, LLC | BLUE ROCK AVENUE ONE | BLUE ROCK AVENUE 1
CRD#: 298465 / SEC#: 801-114003
RIA
Registered Investment Advisory firm - (9/17/2018 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
IAR
Delaware(6/9/2023)
RR
Pennsylvania(3/3/2023)
IAR
Pennsylvania(6/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/2/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VEERY CAPITAL, LLC
AVENUE 1 ADVISORS, LLC | VEERY CAPITAL, LLC | BLUE ROCK AVENUE ONE | BLUE ROCK AVENUE 1
CRD#: 298465 / SEC#: 801-114003
RIA
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Contact information
Main Address
24 W Market Street, West Chester, PA 19382
Mailing Address
Phone number
(302) 660-3350
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 742 |
| AUM (Assets Under Management) | $ 801,987,186 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
