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Information

Firm:
Shaw Group LLC
Managing Director/Chief Compliance Officer
Type: RIA
Description

John Dismuke is an executive and is sole owner of Shaw Group LLC, a $40M RIA based in Cottonwood Heights, UT. John has held an industry securities registration for 9 years and is subject to SEC oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

John Richard Dismuke has not answered any questions on Financial Q&A.

Top Guides

John Richard Dismuke has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Royal Alliance Associates, Inc. 1 year, 3 months Mar 2004 - Jun 2005
Shaw Group LLC 10 years, 2 months Feb 2004 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 03/03/2009, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
03/03/2009
11/12/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 04/20/2004
Uniform Securities Agent State Law Examination Series 63 12/16/1997
General Securities Representative Examination Series 7 11/26/1997
Municipal Securities Representative Examination Series 52 04/09/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets