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John Richard Dismuke

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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.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Royal Alliance Associates, Inc. 1 year, 3 months Mar 2004 - Jun 2005
Shaw Group LLC 10 years, 7 months Feb 2004 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 04/20/2004
Uniform Securities Agent State Law ExaminationSeries 63 12/16/1997
General Securities Representative ExaminationSeries 7 11/26/1997
Municipal Securities Representative ExaminationSeries 52 04/09/1997

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.

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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets