Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Robert Shaw is a registered representative with Bluerock Capital Markets LLC. Alan has over 30 years of experience in the financial services industry. Alan holds FINRA Series 7 and 63 registrations and has passed the Securities Industry Essentials (SIE) Exam. Alan is also registered with the states of Oklahoma and Texas. Previously, Alan has worked for a number of firms, including Preferred Capital Securities, LLC, International Assets Advisory, LLC, PTX Securities, LLC, and Axiom Capital Management, Inc. Alan has a broad range of experience in the financial services industry and is committed to providing clients with the highest level of service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CA
02/10/2017 - Present
Bluerock Capital Markets LLC (Newport Beach CA)
GA
08/03/2015 - 02/09/2017
PREFERRED CAPITAL SECURITIES, LLC (ATLANTA GA)
FL
12/05/2014 - 08/03/2015
INTERNATIONAL ASSETS ADVISORY, LLC (ORLANDO FL)
TX
04/22/2014 - 10/16/2014
PTX SECURITIES, LLC (PLANO TX)
NY
10/10/2013 - 04/23/2014
AXIOM CAPITAL MANAGEMENT, INC. (NEW YORK NY)
CA
02/25/2013 - 05/16/2013
KBR CAPITAL MARKETS, LLC (PALO ALTO CA)
CA
07/13/2012 - 02/22/2013
GRIFFIN CAPITAL SECURITIES, INC. (IRVINE CA)
MN
09/22/2011 - 07/16/2012
OCTAVUS LLC (EXCELSIOR MN)
TX
04/16/2004 - 09/29/2011
BEHRINGER SECURITIES LP (ADDISON TX)
CO
09/17/2001 - 04/08/2004
TRANSAMERICA CAPITAL, INC. (DENVER CO)
VA
09/02/1998 - 08/29/2001
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
AL
03/27/1997 - 01/28/1998
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
NY
03/13/1996 - 08/02/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
TX
05/18/1990 - 03/19/1996
CHASE SECURITIES OF TEXAS, INC. (HOUSTON TX)
CA
11/15/1989 - 03/10/1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
WI
07/01/1987 - 10/24/1989
ISFA CORPORATION (APPLETON WI)
NA
05/06/1985 - 06/29/1987
PRUDENTIAL-BACHE SECURITIES INC.
NA
08/22/1984 - 05/06/1985
BOETTCHER & COMPANY, INC.
BC
Issued 08/31/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Alan Shaw is the right advisor for you? Invested Better is here to help.
