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Lynn Shaw

47 Years of Experience
Memphis, TN
8 DisclosuresBroker

Lynn Shaw is a registered investment advisor at Raymond James & Associates, INC., based in Memphis, TN, with 47 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

1100 Ridgeway Loop Road, Memphis, TN, 38120

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History

Regulatory History (8)
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
August 2012
Settled
Customer Dispute
December 2010
Settled
Customer Dispute
November 2010
Settled
Customer Dispute
January 2010
Settled
Customer Dispute
June 2009
Settled
Customer Dispute
June 2009
Settled
Regulatory
October 1989
Final
Customer Dispute
December 1987
Settled
Other Business Activities

Lynn owns Lynn Shaw Farm, renting cultivatable land and managing timber. She is also a partner in Shaw Brothers Farm, LLC, receiving rental income, and Shaw's General Merchandise, LLC, leasing the land and building.

Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 3 mos
Previous Registrations
Morgan Keegan & Company, INC.
January 1992 - February 2013 · 21 yrs 1 mo
Morgan Keegan & Company, INC.Broker
December 1987 - February 2013 · 25 yrs 2 mos
Prudential-Bache Securities INC.Broker
August 1979 - December 1987 · 8 yrs 4 mos
E. F. Hutton & Company INCBroker
August 1978 - December 1987 · 9 yrs 4 mos
State Registrations28 states
ALARAZCACOFLGAILINKSKYLAMAMIMOMSNCNHNYOHOKORPASCTNTXVAWY
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.