Individual Firm
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PATRICK MICHAEL SHAW
CRD#: 5082341
IA
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MARINER INDEPENDENTCRD#: 305418 2723 S. State St.
Suite #150
Ann Arbor, MI 48104
Suite #150
Ann Arbor, MI 48104
0
Disclosures
18
Years of Experience
View By:
State Registrations
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Illinois 3/19/2024
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Michigan 3/19/2024
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Registered with this firm since 3/19/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/25/2023 - 03/15/2024 | CHICAGO, IL | |
IA | 09/12/2016 - 11/07/2022 | NOVI, MI | |
IA | 09/12/2016 - 03/31/2018 | OAKBROOK TERRACE, IL | |
IA | 04/09/2013 - 09/21/2016 | NAPERVILLE, IL | |
B | 04/09/2013 - 09/21/2016 | NAPERVILLE, IL | |
IA | 10/22/2009 - 04/17/2013 | OAK BROOK, IL | |
B | 10/22/2009 - 04/17/2013 | OAK BROOK, IL | |
IA | 08/15/2006 - 10/07/2009 | DOWNERS GROVE, IL | |
B | 06/13/2006 - 10/07/2009 | DOWNERS GROVE, IL |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.