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STEPHEN G SHAW
STEPHEN GEOFFREY SHAW II, STEPHEN GEOFFREY SHAW, Stephen Shaw
CRD#: 6527404
IA
B
WELLS FARGO ADVISORSCRD#: 19616 221 N KANSAS ST 1ST FL
[TF*/TK-RBO]
EL PASO, TX 79901
[TF*/TK-RBO]
EL PASO, TX 79901
0
Disclosures
5
Years of Experience
View By:
State Registrations
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Arizona 12/1/2021
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New York 1/3/2022
B
California 12/9/2021
B
North Carolina 1/5/2022
B
Colorado 11/22/2021
B
Ohio 12/7/2021
B
Florida 1/5/2023
B
Oklahoma 1/3/2022
B
Idaho 11/23/2021
B
Oregon 12/3/2021
B
Indiana 8/17/2022
B
Pennsylvania 1/4/2022
B
Iowa 1/3/2022
B
South Carolina 5/16/2022
B
Maryland 11/22/2021
B
Texas 9/14/2021
B
Michigan 12/14/2021
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Texas 9/14/2021
B
Missouri 1/3/2022
B
Utah 12/2/2022
B
Montana 1/5/2023
B
Virginia 1/3/2022
B
Nevada 1/3/2022
B
Washington 1/4/2022
B
New Mexico 12/3/2021
B
Wisconsin 12/6/2021
IA
New Mexico 12/3/2021
B
Wyoming 12/15/2022
SRO Registrations
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B
B
B
B
B
B
B
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B
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Registered with this firm since 9/14/2021
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Registered with this firm since 9/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/05/2017 - 05/17/2018 | El Paso, TX | |
B | 05/15/2017 - 05/17/2018 | EL PASO, TX | |
B | 01/25/2016 - 05/18/2017 | El Paso, TX |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.