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Graham Holmes Shaw

National Financial Services LLC

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About Graham Holmes Shaw

Graham Holmes Shaw is a financial advisor with over 18 years of experience in the industry. Shaw is currently registered with National Financial Services LLC in Boston, MA. Shaw has previously worked for firms including Fidelity Brokerage Services LLC, Fidelity Investments Institutional Services Company, Inc., and Putnam Retail Management Limited Partnership. Shaw holds a variety of licenses including Series 6, 7, 26, 51, and 63.

Firm Information

Graham Shaw is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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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Graham Shaw’s Registration & Firm History

MA

10/22/2019 - Present

National Financial Services LLC (BOSTON MA)

RI

11/28/2016 - 08/02/2019

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

08/10/2007 - 10/13/2016

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

05/02/2006 - 07/06/2007

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

MA

08/08/2003 - 07/18/2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

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Licenses & Designations

BC

Issued 11/09/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/2006

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 05/09/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/20/2006

Series 7 - General Securities Representative Examination

BC

Issued 08/07/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Graham Holmes Shaw.
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