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RICHARD LEE SHAUM III
LEE RICHARD SHAUM III, RICHARD LEE SHAUM
CRD#: 5889279
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 2600 E BIDWELL ST STE 200
FOLSOM, CA 95630
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1261 ROSEVILLE PARKWAY
ROSEVILLE, CA 95678-9998
Registration History
20122014201620182020202220242026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2019 - Present (5 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - Present (11 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2011 - 2013 (2 years)BFIRST INVESTORS CORPORATION (CRD# 305)2011 - 2011 (<1 year)
License(s)

State Registrations

B
California 9/30/2019

IA
Nevada 10/12/2023

IA
California 10/3/2019

B
Texas 10/21/2013

B
Colorado 8/2/2013

IA
Texas 9/9/2022

B
Massachusetts 10/21/2013

B
Utah 10/21/2013

B
Nevada 10/10/2023

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
2600 E BIDWELL ST STE 200, FOLSOM, CA 95630
Registered with this firm since 10/3/2019

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
1261 ROSEVILLE PARKWAY, ROSEVILLE, CA 95678-9998
FOLSOM, CA
Registered with this firm since 8/2/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/16/2011 - 07/05/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) GREENWOOD VLG, CO
B
02/24/2011 - 04/06/2011 FIRST INVESTORS CORPORATION (CRD#:305) DENVER, CO
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B
Broker
IA
Investment Adviser
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.