Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen James Shaw has over 20 years of experience in the financial services industry. Stephen is currently registered with Seaport Global Securities LLC, and has previously worked at several other firms including Pine Securities USA LLC, Cantor Fitzgerald & Co., Macquarie Capital (USA) Inc., WestLB Securities Inc., and BBVA Securities Inc. Stephen holds several licenses and certifications including Series 63, Series 24, Series 57TO, SIE, Series 55, and Series 17. Stephen is registered in 51 states and is a general securities principal.
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
CT
05/27/2015 - Present
Seaport Global Securities LLC (GREENWICH CT)
NY
10/10/2012 - 03/26/2015
PINE SECURITIES USA LLC (NEW YORK NY)
NY
02/08/2012 - 10/03/2012
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
12/01/2008 - 12/31/2011
MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)
NY
05/19/2006 - 11/20/2008
WESTLB SECURITIES INC. (NEW YORK NY)
NY
05/18/1998 - 03/01/2006
BBVA SECURITIES INC. (NEW YORK NY)
BC
Issued 08/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/15/1998
Series 17 - Limited Registered Representative Examination
Active
Inactive
F
FINRA
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