Steven Robert Shaw

Current Employers

Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-07-08

TX RA
APPROVED

Since 2026-07-08

Branch Locations

8850 Boedeker St, Dallas, TX 75225 • United States

Dallas, TX • United States

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-08-21

TX RA
APPROVED

Since 2023-08-21

Branch Locations

8850 Boedeker Dr, Dallas, TX 75225 • United States

Dallas, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Comerica Securities	Dallas	TX	07/1995	08/2023
Ameriprise Financial Services, Llc	Dallas	TX	08/2023	Present
Fifth Third Securities	Dallas	TX	07/2026	Present

07/1995 → 08/2023

Comerica Securities

Dallas, TX
08/2023 → Present

Ameriprise Financial Services, Llc

Dallas, TX
07/2026 → Present

Fifth Third Securities

Dallas, TX

Previous Registrations

2002-05-01 → 2023-11-06

Comerica Securities

Dallas, TX

Dallas, TX

Dallas, TX

Other Businesses

Outside Employment; Comerica Bank; Financial Advisor; Comerica Bank Financial Advisor; 8850 Boedeker, , Dallas, TX, 75225; Investment-Related; 11/06/2023; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-09-26

S63 Uniform Securities Agent State Law Examination

1995-09-26

Designations

View on SEC IAPD