Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Samuel Shaw
CRD#: 7060857
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 554 VALE PARK BLVD
VALPARAISO, IN 46385
Registration History
201920202021202220232024202520262 FIRMS2019 - Present (6 years)IAR.B. SMITH CO. INC. (CRD# 114658)2020 - 2024 (4 years)
License(s)

State Registrations

B
Alabama 9/4/2024
B
Missouri 8/27/2021
B
Arizona 8/27/2021
B
Montana 9/4/2024
B
Arkansas 8/27/2021
B
Nevada 2/10/2021
B
California 10/4/2022
B
New York 8/27/2021
B
Colorado 9/4/2024
B
North Carolina 8/24/2021
B
District of Columbia 9/4/2024
B
Ohio 8/29/2021
B
Florida 8/27/2021
B
Pennsylvania 9/4/2024
B
Georgia 8/27/2021
B
Puerto Rico 9/4/2024
B
Idaho 9/4/2024
B
South Carolina 9/4/2024
B
Illinois 2/10/2021
B
South Dakota 8/27/2021
B
Indiana 3/15/2019
B
Tennessee 8/27/2021
IA
Indiana 3/18/2019
B
Texas 8/27/2021
B
Iowa 8/27/2021
IA
Texas 9/20/2021
B
Louisiana 9/4/2024
B
Utah 9/4/2024
B
Maine 9/4/2024
B
Vermont 9/4/2024
B
Maryland 9/4/2024
B
Virginia 9/4/2024
B
Massachusetts 9/4/2024
B
Washington 9/4/2024
B
Michigan 8/27/2021
B
Wisconsin 1/2/2022
B
Minnesota 6/13/2024
B
Wyoming 9/4/2024
B
Mississippi 9/4/2024

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
LPL FINANCIAL LLC (CRD#:6413)
554 VALE PARK BLVD, VALPARAISO, IN 46385
Registered with this firm since 3/18/2019
B
LPL FINANCIAL LLC (CRD#:6413)
554 VALE PARK BLVD, VALPARAISO, IN 46385
Registered with this firm since 2/22/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/20/2020 - 12/31/2024 R.B. SMITH CO. INC. (CRD#:114658) Valparaiso, IN
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.