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Detailed Report
MICHAEL CURTIS FORDHAM
MICHAEL CURTIS SHAW
CRD#: 5489430
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 2825 Main Street
Irvine, CA 92614
Registration History
20082010201220142016201820202022202420262 FIRMS2016 - 2016 (<1 year)2 FIRMS2017 - Present (7 years)BCROSSROADS CAPITAL DISTRIBUTOR... (CRD# 171776)2016 - 2017 (<1 year)BNORTHSTAR SECURITIES, LLC (CRD# 150409)2013 - 2016 (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - 2013 (4 years)
Disclosure(s)
View By:
2/26/2022
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/26/2020
B
Nevada 5/26/2020
B
California 7/31/2017
B
New York 5/26/2020
IA
California 8/10/2017
B
Ohio 9/20/2022
B
Colorado 3/26/2025
B
South Carolina 3/26/2025
B
Florida 7/26/2021
B
Tennessee 5/26/2020
B
Georgia 5/26/2020
B
Texas 5/26/2020
B
Hawaii 5/26/2020
B
Utah 5/26/2020
B
Idaho 6/25/2024
B
Virginia 11/2/2023
B
Massachusetts 5/26/2020
B
Washington 5/26/2020

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2825 Main Street, Irvine, CA 92614
Registered with this firm since 8/10/2017
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2825 Main Street, Irvine, CA 92614
Registered with this firm since 7/31/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/12/2016 - 07/19/2017 CROSSROADS CAPITAL DISTRIBUTORS, LLC (CRD#:171776) NEWPORT BEACH, CA
B
 06/02/2016 - 08/29/2016 HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. (CRD#:165013) DALLAS, TX
B
 02/19/2016 - 06/08/2016 NEXBANK SECURITIES INC (CRD#:133267) DALLAS, TX
B
 01/16/2013 - 02/10/2016 NORTHSTAR SECURITIES, LLC (CRD#:150409) GREENWOOD VILLAGE, CO
B
 06/11/2008 - 01/23/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.