Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Shaw is a financial advisor with over 27 years of experience in the industry. Brian has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2013. Prior to that, Brian held positions at a variety of firms including NF Clearing, Inc., Jefferies & Company, Inc. and Helfant Group, Inc. Brian is a registered representative in 53 states and is also a licensed investment advisor in New Jersey and Texas. Brian has a strong track record of success and is committed to providing his clients with personalized financial advice and guidance. Brian's areas of expertise include portfolio management, investment planning and financial planning.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
04/10/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
04/07/2006 - 12/06/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWARK NJ)
PA
05/20/2004 - 01/17/2006
NF CLEARING, INC. (PHILADELPHIA PA)
NY
05/16/2002 - 04/21/2003
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
05/16/2002 - 01/13/2003
HELFANT GROUP, INC. (NEW YORK NY)
NY
03/21/1999 - 05/16/2002
HELFANT GROUP, INC. (NEW YORK NY)
TX
08/22/1989 - 03/31/1999
FLEET SECURITIES, INC. (DALLAS TX)
BOTH
Issued 03/04/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/19/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/31/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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