Anne Shaw, financial advisor Louisville KY
93 score

Anne Shaw

CRD Number: 4467503
Current Firm: Msi Financial Services, Inc.

Anne Shaw (CRD# 4467503) is an Investment Advisor Representative working at Msi Financial Services, Inc. in Louisville, KY and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Metlife Securities Inc. Louisville, KY Mar 2011 - Current 5
Pnc Investments Louisville, KY Nov 2009 - Mar 2011 1
Natcity Investments, Inc. Cleveland, OH May 2009 - Nov 2009 < 1
National City Bank Louisville, KY May 2009 - Nov 2009 < 1
Woodbury Financial Services Inc. Louisville, KY Jan 2009 - May 2009 < 1
Natcity Investments, Inc. Louiseville, KY Mar 2008 - Jan 2009 < 1
National Planning Corporation New Albany, IN Oct 2007 - Mar 2008 < 1
Aig American General Life Insurance Company New Albany, IN Oct 2006 - Oct 2007 1
Unemployed Louiseville, IN Aug 2006 - Oct 2006 < 1
Aig Valic Atlanta, GA Jan 2002 - Aug 2006 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2001
S65 NASAA Investment Advisors Law Examination Mar 2003
Contact Info for Anne C. Shaw
Phone Number: 800-638-8378
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
    13,804
    MILLIONS
  • Total Number of Accounts
    105,831
    ACCOUNTS
  • Average Account Value
    $130,432
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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