Patricia Wai Giu Shaw

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
OK	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21

OK RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21

Branch Locations

14604 Bogert Pkwy, Oklahoma City, OK 73134 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Monat Global	Doral	FL	10/2014	07/2021
Waddell & Reed, Inc	Edmond	OK	12/2014	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Edmond	OK	08/2015	07/2021
Gailynn Phelps	Edmond	OK	09/2017	01/2019
Patricia Shaw	Edmond	OK	10/2017	07/2021
M Global	Lindon	UT	07/2013	11/2020
Alisonn Best	Edmond	OK	01/2019	07/2021
Patricia Shaw Notary Public	Edmond	OK	06/2019	07/2021
Providence Financial Group Llc	Edmond	OK	08/2019	07/2021
Lpl Financial Llc	Edmond	OK	07/2021	Present

10/2014 → 07/2021

Monat Global

Doral, FL
12/2014 → 07/2021

Waddell & Reed, Inc

Edmond, OK
08/2015 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Edmond, OK
09/2017 → 01/2019

Gailynn Phelps

Edmond, OK
10/2017 → 07/2021

Patricia Shaw

Edmond, OK
07/2013 → 11/2020

M Global

Lindon, UT
01/2019 → 07/2021

Alisonn Best

Edmond, OK
06/2019 → 07/2021

Patricia Shaw Notary Public

Edmond, OK
08/2019 → 07/2021

Providence Financial Group Llc

Edmond, OK
07/2021 → Present

Lpl Financial Llc

Edmond, OK

Previous Registrations

2015-07-20 → 2021-07-21

Waddell & Reed

Edmond, OK

Edmond, OK

Other Businesses

10/2014-PRESENT, MONAT GLOBAL, DORAL, FL, NOT INVESTMENT RELATED, HAIR CARE SALES, MARKET PARTNER, 1 HOUR PER MONTH, 0 HOURS DURING SECURITIES HOURS. 08/2015- PRESENT, VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES, EDMOND, OK, INVESTMENT RELATED, INSURANCE SALES, INSURANCE AGENT. 10/2017-PRESENT, PATRICIA SHAW, EDMOND, OK, NOT INVESTMENT RELATED, OWNER, SOLE PROPRIETORSHIP, 40 HOURS PER MONTH, 0 HOURS MONTHLY DURING SECURITIES TRADING. 06/2019-PRESENT, PATRICIA SHAW NOTARY PUBLIC, EDMOND, OK, NOT INVESTMENT RELATED, NOTARY PUBLIC, NOTARY, 4 HOURS PER MONTH, 4 HOURS MONTHLY DURING SECURITIES TRADING. 08/2019-PRESENT, PROVIDENCE FINANCIAL GROUP LLC, EDMOND, OK, INVESTMENT RELATED, ADVISOR ASSOCIATE, LLC, 160 HOURS PER MONTH, 130 HOURS MONTHLY DURING SECURITIES TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-07-19
S63	Uniform Securities Agent State Law Examination	2015-07-12

S65 Uniform Investment Adviser Law Examination

2015-07-19
S63 Uniform Securities Agent State Law Examination

2015-07-12

Other Names

Patricia Luk

View on SEC IAPD