William Shaw is a registered investment advisor, based in Seattle, WA, with 44 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Seattle, WA
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2008Settled
Other Business ActivitiesSells Insurance
William is an insurance agent with B.Riley Wealth Insurance since 2022, selling insurance products. This takes a few hours per week, some of which are during securities trading hours.
Employment History
Current Registrations
B. Riley Wealth Management
July 2022 - Present · 4 yrs 3 mos
B. Riley Wealth ManagementBroker
July 2022 - Present · 4 yrs 3 mos
B. Riley Wealth Advisors, INC.
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
National Securities CorporationBroker
November 2018 - July 2022 · 3 yrs 8 mos
UBS Financial Services INC.
March 1995 - December 2018 · 23 yrs 9 mos
UBS Financial Services INC.Broker
February 1995 - December 2018 · 23 yrs 10 mos
Prudential Securities IncorporatedBroker
January 1993 - March 1995 · 2 yrs 2 mos
Puget Sound Securities, INC.Broker
September 1990 - January 1993 · 2 yrs 4 mos
Lehman Brothers INC.Broker
March 1982 - September 1990 · 8 yrs 6 mos
State Registrations6 states
CADCFLORSCWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
More Advisors
- Kyle Johnston, CFPIndependent Advisor Alliance, LLC
- Glen Kim, ChFCIndependent Financial Group, LLC
- Evan Anderson, CFPLPL Financial LLC
- Jacob Chavez, CFPRBC Capital Markets, LLC
- Reagan Smith, CFPMillennial Wealth
- Jared Espinoza, CFPFocus Partners Wealth, LLC