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CFP
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CFP

Gerald Shaw

Forefront
42 Years of Experience
Austin, TX
4 DisclosuresBrokerSells Insurance
View SEC Summary
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Gerald Shaw is a CFP-designated registered investment advisor at Forefront, based in Austin, TX, with 42 years of industry experience. Gerald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Divorce Planning, Education Planning, and 8 more. Their firm serves 572 clients with $240M in assets under management.

Forefront
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
30 advisors
Number of Clients
572 clients
Average Client Portfolio
$419K average
Assets Under Management
$239.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)

Forefront Wealth Partners charges an annual fee based on either the market value of the assets they manage for you or a flat annual fee. These fees are negotiable, prorated, and paid in advance on a monthly basis. Total fees charged for investment management will not exceed 3% of your portfolio per year.

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Location

7500 Rialto Blvd, Bldg 1, Suite 250, Austin, TX, 78735

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History

Regulatory History (4)
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.
Employment Separation After Allegations
May 2020
Financial
August 2019
Final
Financial
August 2019
Final
Customer Dispute
May 2011
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gerald owns Summit Advisors, LLC, providing financial and tax planning, life insurance, and fixed-rate annuity sales, dedicating about 10-20% of his time. He also owns Seminole Tax Pros, LLC, for tax preparation and consulting, spending a few hours per week, and is a registered representative of Calton & Associates.

Employment History
Current Registrations
Forefront
July 2023 - Present · 3 yrs 3 mos
Calton & Associates, INC.Broker
May 2023 - Present · 3 yrs 5 mos
Previous Registrations
Stark Financial Advisers, INC.
August 2020 - May 2023 · 2 yrs 9 mos
R.M. Stark & CO., INC.Broker
May 2020 - May 2023 · 3 yrs
Mutual Trust Asset Mgmt., INC.
August 2015 - June 2020 · 4 yrs 10 mos
Mutual Trust CO. of America SecuritiesBroker
July 2015 - June 2020 · 4 yrs 11 mos
Summit Financial Group INC
November 2012 - July 2015 · 2 yrs 8 mos
Summit Brokerage Services, INC.Broker
November 2012 - July 2015 · 2 yrs 8 mos
Sigma Financial CorporationBroker
October 2007 - November 2012 · 5 yrs 1 mo
Spc
October 2007 - November 2012 · 5 yrs 1 mo
Asset & Financial Planning, LTD
February 2007 - October 2007 · 8 mos
Prime Capital Services, INC.Broker
February 2007 - October 2007 · 8 mos
Spc
May 2002 - February 2007 · 4 yrs 9 mos
Sigma Financial CorporationBroker
January 1996 - February 2007 · 11 yrs 1 mo
Sun Investment Services CompanyBroker
April 1989 - February 1996 · 6 yrs 10 mos
Pruco Securities CorporationBroker
September 1984 - June 1989 · 4 yrs 9 mos
State Registrations7 states
COFLGAMDMIMNVA
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.
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