Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Gordon Shaw is an investment professional with over two decades of experience in the financial industry. Robert is currently registered with Barclays Capital Inc. as a Registered Representative. Prior to joining Barclays Capital Inc., Robert worked at Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Bank of America Securities LLC. Robert has a strong understanding of the financial markets and a proven track record of success in helping clients achieve their investment goals. Robert is also a Series 24, Series 79, and Series 7 licensed individual.
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.
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2
NY
05/10/2024 - Present
Barclays Capital Inc. (NEW YORK NY)
CA
09/25/2018 - 10/13/2023
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
11/01/2010 - 09/20/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
03/29/2005 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
MA
01/06/2003 - 11/26/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
06/30/1998 - 11/01/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 01/28/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/07/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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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