Gerald Shaw has been an investment adviser representative at Forefront Wealth Partners since July 2023, and is not listed among the firm’s executive officers or direct owners.
Forefront Wealth Partners, LLC is an Austin, TX firm with $240M under management, 572 clients and 7 advisers across 6 offices, as of its September 2026 filing.
Gerald Shaw’s longest registration was 5 years at SPC (2007–2012). Before joining Forefront Wealth Partners in 2023, Gerald Shaw was registered through Stark Financial Advisers, Inc. and Mutual Trust Asset MGMT., Inc.
- Stark Financial Advisers, Inc.– · 2 yearsSeminole, FL · Adviser representative · Firm CRD 121213
- Mutual Trust Asset MGMT., Inc.– · 4 yearsSeminole, FL · Adviser representative · Firm CRD 121364
- Summit Financial Group Inc– · 2 yearsSeminole, FL · Adviser representative · Firm CRD 109485
- SPC– · 5 yearsSeminole, FL · Adviser representative · Firm CRD 110692
- Asset & Financial Planning, LTD– · under a yearClearwater, FL · Adviser representative · Firm CRD 110709
- SPC– · 4 yearsSeminole, FL · Adviser representative · Firm CRD 110692
Investment adviser representative registrations
Gerald Shaw is registered as an investment adviser representative in Florida, since July 2023.
- FloridaSince 7 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 6 March 2013 |
| Series 65 | Uniform Investment Adviser Law Examination | 7 January 2000 |
| Series 62 | Corporate Securities Limited Representative Examination | 3 February 1999 |
| Series 22 | Direct Participation Programs Representative Examination | 11 September 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 October 1984 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 September 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Corporate Securities Limited Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Gerald E Shaw
- CRD
- 1305370
- Firm
- Forefront Wealth Partners · CRD 308521
- Office
- 7500 RIALTO BLVD, BLDG 1, SUITE 250, Austin, TX 78735
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Gerald Shaw work?
Gerald Shaw is an investment adviser representative registered through Forefront Wealth Partners, LLC since July 2023, and is not listed among the firm’s executive officers or direct owners.
Is Gerald Shaw a financial advisor?
Yes. Gerald Shaw has a current investment-adviser registration in Florida, through Forefront Wealth Partners since July 2023.
How many years of experience does Gerald Shaw have?
Gerald Shaw has 42 years in the financial industry, since September 1984, across 6 adviser firms.
What exams has Gerald Shaw passed?
Gerald Shaw has passed 6 licensing exams: the Series 6, Series 63, Series 22, Series 62, Series 65 and Series 7. The earliest, the Series 6, was passed in September 1984. FINRA credited Gerald Shaw with the SIE, which began in October 2018.
Where did Gerald Shaw work before Forefront Wealth Partners?
Before Forefront Wealth Partners, Gerald Shaw was registered through Stark Financial Advisers, Inc., August 2020 to May 2023; Mutual Trust Asset MGMT., Inc., August 2015 to June 2020; Summit Financial Group Inc, November 2012 to July 2015; SPC, October 2007 to November 2012; Asset & Financial Planning, LTD, February 2007 to October 2007; SPC, May 2002 to February 2007.
Where is Gerald Shaw based?
Gerald Shaw’s registered office is in Austin, TX.
Is Gerald Shaw registered with FINRA?
Yes. Gerald Shaw has a current broker registration, under CRD 1305370.
Source: FINRA BrokerCheck
How can I verify Gerald Shaw’s record?
Search CRD 1305370 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Gerald Shaw’s full registration record.
