Gene Raymond Shaw

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1987 → Present
  Gene R. Shaw, Self Employed
  Cincinnati, OH
• 01/2004 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2005 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1) GENE R. SHAW/ATTORNEY; NOT INV REL; NATURE OF BUSINESS; ESTATE PLANNING, PROBATE, SMALL BUSINESS, SOME TAX WORK, SOLE PRACTICE WITH WITH COUNSEL RELATIONSHIP TO LARGER FIRM; ATTORNEY; 60 HRS/WK: 2)SELLS HEALTH INS; NOT INV REL; CINCINNATI, OH; ASSURANT, GOLDEN RULE, ANTHEM BLUE CROSS; START 6/2010; HRS/WK AS NEEDED: 3)ADMINISTRATOR WWA OF THE ESTATE OF ROBERT L WILLIAMS SR., NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, LEGAL, STARTED 12/2018, POSITION/TITLE/RELATIONSHIP: ATTORNEY, APX 2 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ADMINISTER THE ESTATE.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-04-14