Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Thomas Shaw is a financial professional with over a decade of experience in the financial services industry. David is a CERTIFIED FINANCIAL PLANNER™ professional and holds several licenses and certifications, including the Series 7, Series 63, and Series 65 licenses as well as the SIE exam. David is currently registered with Cetera Investment Advisers LLC in Georgia and Texas. David has previously worked with Raymond James Financial Services, Inc. and Raymond James & Associates, Inc., as well as WallachBeth Capital LLC. David specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting services.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
GA
11/20/2023 - Present
Cetera Investment Advisers LLC (Alpharetta GA)
GA
03/25/2020 - 12/26/2023
RAYMOND JAMES FINANCIAL SERVICES, INC. (Watkinsville GA)
GA
11/17/2016 - 03/25/2020
RAYMOND JAMES & ASSOCIATES, INC. (Watkinsville GA)
FL
11/05/2010 - 07/05/2016
WALLACHBETH CAPITAL LLC (BOCA RATON FL)
IA
Issued 12/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/11/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/4/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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