Michael K. 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.
Michael Kevin Shaw was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 8 firms and has passed the Series 6TO, 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
February 14, 2018 - December 1, 2025
FORTUNE FINANCIAL SERVICES, INC.
November 1, 2017 - December 31, 2017
CETERA WEALTH SERVICES, LLC
September 18, 2003 - November 1, 2017
GIRARD SECURITIES, INC.
December 16, 1997 - July 21, 2003
SENTRA SECURITIES CORPORATION
March 16, 1988 - July 21, 2003
SENTRA SECURITIES CORPORATION
June 18, 1982 - February 27, 1988
AMERICAN PACIFIC SECURITIES CORPORATION
June 26, 1978 - June 15, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
June 26, 1978 - June 15, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 1978 - June 15, 1982
IDS LIFE INSURANCE COMPANY
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 6/12/1978
Registered Representative ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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