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Charles Franklin Shaw

Third Seven Capital LLC

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About Charles Franklin Shaw

Charles Franklin Shaw has been in the securities industry since September 30, 2014. Charles Shaw is currently registered with Third Seven Capital LLC. Charles Shaw is a Series 7 and SIE licensed professional. Previously, Charles Shaw was registered with EDI FINANCIAL, INC. from September 5, 2014 to December 31, 2016.

Firm Information

Charles Shaw is currently registered with Third Seven Capital LLC. Third Seven Capital LLC is a Limited Liability Company formed on July 6, 2011, with a status of Approved. The firm is registered in all 50 states and the District of Columbia, as well as Puerto Rico and the Virgin Islands. Third Seven Capital LLC has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

34

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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Charles Shaw’s Registration & Firm History

NJ

01/27/2017 - Present

Third Seven Capital LLC (Wall NJ)

NJ

09/05/2014 - 12/31/2016

EDI FINANCIAL, INC. (LAKE COMO NJ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/05/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Franklin Shaw.
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