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Joseph Shaw

Raymond James Financial Services Advisors, INC
26 Years of Experience
Ellicott City, MD
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Shaw is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Ellicott City, MD, with 26 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9151 Baltimore Nat'L Pike, Ellicott City, MD, 21042

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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.
Customer Dispute
March 2015
Denied
Customer Dispute
November 2010
Denied
Customer Dispute
February 2009
Denied
Customer Dispute
April 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joseph works as an advisor at Fulton Bank and as an associate at Fulton Financial Advisors, dedicating about half his time to each. He also works as an agent for Specific Solutions selling life insurance, dedicating a few hours per week.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 9 mos
Raymond James Financial Services, INC.Broker
June 2008 - Present · 18 yrs 4 mos
Previous Registrations
Raymond James Financial Services
June 2008 - January 2009 · 7 mos
Primevest Financial Services, INC.
March 2008 - June 2008 · 3 mos
Primevest Financial Services, INC.Broker
January 2006 - June 2008 · 2 yrs 5 mos
Uvest Financial Services Group, INC.Broker
January 2002 - January 2006 · 4 yrs
Morgan Stanley Dw INC.Broker
April 2000 - January 2002 · 1 yr 9 mos
State Registrations24 states
ALAZCACODCDEFLKYMAMDMONCNJNVNYOHPASCTNTXVAWAWIWV
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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