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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Holmes Shaw is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. John is a Certified Financial Planner™ professional and holds a Series 3, 7, 63, and 65 licenses. John has been in the financial industry for 27 years, and has held previous positions at Barclays Capital Inc., Thomas Weisel Partners LLC and Banc of America Securities LLC. John has experience providing portfolio management services to individuals, businesses, and pensions. John is registered in 28 states and the District of Columbia.
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
UT
01/08/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SALT LAKE CITY UT)
CA
01/14/2011 - 07/23/2015
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
11/10/1999 - 01/27/2011
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
10/01/1997 - 12/07/1999
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
10/05/1995 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
IA
Issued 11/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2002
Series 3 - National Commodity Futures Examination
BC
Issued 10/04/1995
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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