Gerald ShawCRD Number: 1305370
Current Firm: Mutual Trust Asset Mgmt., Inc.
Gerald Shaw (CRD# 1305370) is an Investment Advisor Representative working at Mutual Trust Asset Mgmt., Inc. in Seminole, FL and has over 32 years of experience in the finance industry. Gerald Shaw has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Mutual Trust Company Of America Securities||Clearwater, FL||Jul 2015 - Current||2|
|Summit Brokerage Services||Seminole, FL||Nov 2012 - Jul 2015||2|
|Summit Financial Grp||Seminole, FL||Nov 2012 - Jul 2015||2|
|Spc||Seminole, FL||Oct 2007 - Nov 2012||5|
|Sigma Financial Corp||Seminole, FL||Oct 2007 - Nov 2012||5|
|Asset & Financial Planning, Ltd.||Clearwater, FL||Feb 2007 - Nov 2012||5|
|Prime Capital Services, Inc.||Clearwater, FL||Feb 2007 - Oct 2007||< 1|
|Sigma Planning Corp.||Seminole, FL||May 2002 - Feb 2007||4|
|Sigma Financial Corporation||Ann Arbor, MI||Jan 1996 - Feb 2007||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1984|
|S65||NASAA Investment Advisors Law Examination||Jan 2000|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management87MILLIONS
Total Number of Accounts866ACCOUNTS
Average Account Value$100,265
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AZ, FL, MN