Shaw Group LLC
Managing Director/Chief Compliance Officer
|Type:||RIA, FINRA Status Unknown|
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 less than a year and is subject to SEC oversight.
Top AnswersJohn Richard Dismuke has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Royal Alliance Associates, Inc.||1 year, 3 months||Mar 2004 - Jun 2005|
|Shaw Group LLC||10 years, 1 month||Feb 2004 - Present|
No Disclosures Found
|As of Date||
*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.
|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|
Types of Compensation Arrangements
- Percentage of Assets