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DS

Daniel P. Shaw

NC SECURITIES
Easton, MD 21601
Some features on this profile are disabled
CRD#: 7707571
DS

Professional summary

Daniel Preston Shaw is a registered financial professional currently at NC SECURITIES, LLC located in Easton, Maryland.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2023. Daniel has worked at 1 firm and has passed the Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Preston 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®
None

Experience

Current

April 14, 2023 - Present

NC SECURITIES, LLC

Office #1: 101 Marlboro Avenue Suite 53, Easton, MD 21601
BD
CRD#: 141074
Easton, MD

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
Maryland
(4/14/2023)

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 4/14/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/23/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NC SECURITIES, LLC
NC SECURITIES, LLC

CRD#: 141074 / SEC#: , 8-67360

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
101 Marlboro Avenue Suite 53, Easton, MD 21601
Mailing Address
101 Marlboro Avenue Suite 53, Easton, MD 21601
Phone number
(240) 988-1296
Established
Delaware since 09/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL CAPITAL COMPANIES, LLCMEMBER
ALBERTINI, WENDY ANNEFINOP, PRINCIPAL5171062
WOMER, DARREN SCOTTPRESIDENT, CEO, CCO, EXECUTICE REP2618788

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.

Company Information

NC SECURITIES, LLC

CRD#: 141074Easton, MD 21601

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