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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett John Shaw is an active Investment Advisor Representative at Wells Fargo Clearing Services, LLC. Brett is registered with the state of Minnesota and holds the Series 6, 7, 9, 10, 63, 65, 99TO and SIE licenses. Brett has been in the industry since June 26, 2014. Brett has been with Wells Fargo Advisors LLC since May 2014, and Wells Fargo Clearing Services, LLC since November 2016. Brett provides a variety of services to clients including investment consulting services to institutional clients, financial planning, pension consulting and selection of other advisors. Brett also provides portfolio management for businesses and individuals. Brett is located in Saint Cloud, Minnesota and is licensed to provide services in Minnesota, Nebraska, North Dakota and South Dakota.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MN
07/30/2014 - Present
Wells Fargo Clearing Services, LLC (SAINT CLOUD MN)
IA
Issued 07/30/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/18/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2015
Series 7 - General Securities Representative Examination
BC
Issued 06/27/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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