Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Shaw is a financial professional with over 25 years of experience in the industry. James has a strong background in securities trading and supervision, having held positions at several firms, including TD Waterhouse Investor Services, Inc., A.S. Goldmen & Co., Inc., and Nasdaq Options Services, LLC. Currently, James is employed by Nasdaq Execution Services, LLC. James is licensed in the State of New York and holds the Series 7, 9, 10, 55, 63, and SIE licenses.
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.
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.
1
2
NY
02/01/2006 - Present
Nasdaq Execution Services, LLC (NEW YORK NY)
NY
05/17/2007 - 04/11/2014
NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)
NJ
04/21/2005 - 02/01/2006
INET ATS, INC. (JERSEY CITY NJ)
NE
09/05/1997 - 04/19/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
02/02/1997 - 04/30/1997
H.J. MEYERS & CO., INC. (ROCHESTER NY)
NJ
11/25/1996 - 01/24/1997
A.S. GOLDMEN & CO., INC. (RED BANK NJ)
BC
Issued 12/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2000
Series 4 - Registered Options Principal Examination
BC
Issued 02/07/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/22/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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