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Detailed Report
CHAD ALAN SHAW
CRD#: 5683709
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 18575 Jamboree Rd
Ste 200
Irvine, CA 92612
Registration History
20122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2014 - Present (10 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2011 - Present (14 years)
License(s)

State Registrations

B
Arizona 12/1/2015
B
Missouri 10/5/2023
B
California 4/10/2014
B
Montana 8/25/2023
IA
California 7/15/2015
B
Nebraska 2/5/2021
B
Colorado 1/30/2024
B
Nevada 2/6/2020
B
Delaware 3/12/2019
B
New Jersey 9/10/2021
B
District of Columbia 10/8/2018
B
New York 6/20/2011
B
Florida 2/2/2017
B
North Carolina 10/7/2016
B
Georgia 5/3/2023
B
Ohio 10/12/2020
B
Hawaii 7/17/2023
B
Oregon 4/1/2020
B
Idaho 6/29/2018
B
Pennsylvania 11/14/2022
B
Indiana 9/27/2021
B
South Carolina 4/7/2021
B
Kansas 5/5/2021
B
Texas 6/16/2017
B
Louisiana 9/13/2019
B
Utah 4/16/2018
B
Maryland 2/25/2015
B
Washington 5/30/2018
B
Minnesota 8/24/2018
B
Wyoming 7/26/2018

SRO Registrations

B
 FINRA

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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
18575 Jamboree Rd Ste 200, Irvine, CA 92612
Registered with this firm since 6/13/2014
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
18575 Jamboree Rd Ste 200, Irvine, CA 92612
Registered with this firm since 4/19/2011
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.