David Shaw is a registered investment advisor, based in Yuba City, CA, with 20 years of industry experience.
Location
Yuba City, CA
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
May 2024Denied
Other Business ActivitiesSells Insurance
David is involved in several business activities, including selling equity indexed annuities, tax preparation/accounting through Meyer Bookkeeping & Tax Service Inc and Shaw & Associates, and serving as an elected official for the City of Yuba City. He also manages S G Ranch LLC and works as a life insurance agent, dedicating minimal time to each of these activities.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2025 - Present · 10 mos
Cetera Wealth Services, LLCBroker
September 2025 - Present · 10 mos
Previous Registrations
Avantax Advisory Services
January 2010 - September 2025 · 15 yrs 8 mos
Avantax Investment Services, INC.Broker
December 2005 - September 2025 · 19 yrs 9 mos
State Registrations21 states
ALAZCAFLGAHIIDMNMOMTNCNMNVOHORTXUTVAWAWIWV
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.