William Shaw is a registered investment advisor, based in Seattle, WA, with 44 years of industry experience.
Location
Seattle, WA
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Regulatory History (1)
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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 · 3 yrs 10 mos
B. Riley Wealth ManagementBroker
July 2022 - Present · 3 yrs 10 mos
B. Riley Wealth Advisors, INC.
November 2018 - Present · 7 yrs 6 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.