Richard 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.
Richard Henry Shaw was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - December 31, 2017
D.A. DAVIDSON & CO.
November 25, 2013 - December 31, 2017
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
July 1, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
July 1, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
February 26, 2007 - June 30, 2011
STONE & YOUNGBERG LLC
December 5, 2006 - June 30, 2011
STONE & YOUNGBERG LLC
September 2, 2002 - August 24, 2005
SMART INVESTMENTS ADVISORY INCORPORATED
June 19, 2002 - December 6, 2006
THE SEIDLER COMPANIES INCORPORATED
May 28, 2002 - July 2, 2002
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 2, 2002
RBC CAPITAL MARKETS, LLC
May 15, 1984 - March 9, 2002
SUTRO & CO. INCORPORATED
February 1, 1982 - April 24, 1984
CIBC WORLD MARKETS CORP.
November 12, 1981 - January 26, 1982
THOMSON MCKINNON SECURITIES INC.
March 24, 1980 - September 29, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 24, 1978 - March 22, 1980
MORGAN STANLEY DW INC.
January 19, 1978 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
September 8, 1976 - February 3, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
September 8, 1976 - February 3, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
September 8, 1976 - February 3, 1978
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
Series 1
Date: 8/30/1976
Registered Representative ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
