Richard C. Shaw
Professional summary
Richard Clark Shaw JR, who also goes by Richard Clark Shaw, is a registered financial advisor currently at QVM GROUP LLC located in South Glastonbury, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Richard has worked at 3 firms and has passed the Series 7, Series 1, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Clark Shaw JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2007 - Present
QVM GROUP LLC
Office #2: 2389 Main Street, Glastonbury, CT 06033April 10, 1995 - May 25, 1999
PHOENIXLINK INVESTMENTS INC.
March 23, 1983 - July 6, 1995
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/16/2007)
Exams
Series 1
Date: 7/14/1977
Registered Representative ExaminationSeries 2
Date: 9/23/1976
Non-Member General Securities ExaminationCurrent Firm
QVM GROUP LLC
CRD#: 142534 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 67,607,163 |
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.
