Richard Allan 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

• 06/2003 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 08/2003 → Present
  Advanced Financial Group
  West Boylston, MA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2004-10-27 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA
  West Boylston, MA
  Lynnfield, MA

Other Businesses

DBA: ADVANCED FINANCIAL GROUP. 9 MAPLE STREET, SUITE 1 WEST BOYLSTON, MA 01583.***OBA: INSURANCE. ADVANCED FINANCIAL GROUP. 9 MAPLE STREET, SUITE 1 WEST BOYLSTON, MA 01583. INSURANCE SALES. AGENT. 12/1986. HRS/MONTH: 24 HRS/TRADING: 8.***OBA: WEST BOYLSTON SCHOOL COMMITTEE. ELECTED POSITION- MEMBER OF COMMITTEE. SCHOOL COMMITTEE BUSINESS. START 4/1/2011. HRS/MONTH: 15 HRS/TRADING: 0.***OBA: 9 MAPLE STREET TRUST. TRUSTEE OF TRUST AND OWNER OF PROPERTY. START 10/19/2010. HRS/MONTH: 15 HRS/TRADING: 5.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-29
• S63 Uniform Securities Agent State Law Examination
  1987-03-05

Designations

• Chartered Financial Consultant

Other Names

• Rick Shaw