John Calvin 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
OH	RA	APPROVED	2009-10-27

OH RA
APPROVED

Since 2009-10-27

Branch Locations

Toledo, OH • 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
Lpl Financial	Perrysburg	OH	10/2009	Present

10/2009 → Present

Lpl Financial

Perrysburg, OH

Previous Registrations

2007-09-10 → 2009-10-20

Ubs Financial Services Inc.

Perrysburg, OH
2002-02-25 → 2003-09-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Toledo, OH

Other Businesses

1) 01/09/2025 - Shaw, Funderburk LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:01/08/2025 - 160 Hrs/Mth - 9 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-07
S65	Uniform Investment Adviser Law Examination	1995-01-30
S63	Uniform Securities Agent State Law Examination	1986-04-23

S66 Uniform Combined State Law Examination

2007-09-07
S65 Uniform Investment Adviser Law Examination

1995-01-30
S63 Uniform Securities Agent State Law Examination

1986-04-23

Other Names

John C Shaw

View on SEC IAPD