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Brian Douglas Shaw

American Enterprise Investment Services Inc.

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About Brian Douglas Shaw

Brian Douglas Shaw is a financial advisor with American Enterprise Investment Services Inc. Brian has been in the financial services industry since 1997 and has a wide range of experience in the industry. Brian holds the Series 7, 52, 53, and 63 licenses. Brian is registered with the state of North Carolina. Brian is committed to helping clients achieve their financial goals.

Firm Information

Brian Shaw is currently registered with American Enterprise Investment Services Inc.. American Enterprise Investment Services Inc. is a Corporation formed in April 1990, registered to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been approved for SEC registration and has been involved in 11 regulatory and civil disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

16

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Brian Shaw’s Registration & Firm History

NC

01/11/2024 - Present

American Enterprise Investment Services Inc. (Charlotte NC)

FL

07/03/2017 - 11/17/2023

INTERCOASTAL CAPITAL MARKETS, INC. (BOCA RATON FL)

KY

02/14/2011 - 08/16/2016

J.J.B. HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)

NJ

05/17/2010 - 02/15/2011

TD AMERITRADE, INC. (JERSEY CITY NJ)

IN

01/07/2009 - 02/01/2010

J.J.B HILLIARD, W.L. LYONS, LLC (CARMEL IN)

IL

08/18/2008 - 12/18/2008

R.W. SMITH & ASSOCIATES, INC. (CHICAGO IL)

CA

01/16/2006 - 06/07/2007

UBS SECURITIES LLC (LOS ANGELES CA)

NJ

10/03/2003 - 01/16/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

07/26/2000 - 07/08/2003

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

07/21/1997 - 04/13/2000

J.C. BRADFORD & CO. (NEW YORK NY)

NY

08/25/1994 - 06/24/1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/05/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/13/1994

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/18/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Douglas Shaw.
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