Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leslie? Claim Your ProfileLeslie Ann Shaw is a financial advisor in Sandy, UT. Leslie has been in the financial services industry since 2002 and is currently registered with Stifel, Nicolaus & Company, Inc.. Leslie has experience in providing financial planning, portfolio management, and pension consulting services to individuals and businesses. Prior to joining Stifel, Nicolaus & Company, Inc., Leslie worked at CITY SECURITIES CORPORATION and NATCITY INVESTMENTS, INC..
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
06/21/2024 - Present
Stifel, Nicolaus & Company, Inc. (INDIANAPOLIS IN)
IN
02/10/2011 - 02/28/2017
CITY SECURITIES CORPORATION (INDIANAPOLIS IN)
OH
07/14/1995 - 03/28/2003
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
IN
07/26/1994 - 07/14/1995
RAFFENSPERGER, HUGHES & CO., INC. (INDIANAPOLIS IN)
BOTH
Issued 03/28/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/31/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Leslie Shaw is the right advisor for you? Invested Better is here to help.
