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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)41 years in industry

GERALD E SHAW

Advisor at FOREFRONT

AUSTIN, TX

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Search this name across graphsid dfx:ria:6b62589a-58b5-00be-7c21-6ca5c76efdf9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 6, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOREFRONT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 5, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Oct 5, 1984
First registration: May 6, 2002
Dual registered: yes, broker-dealer
Other names: JERRY SHAW
IAPD individual key: 1305370

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Forefront	Independent wealth	Jul 7, 2023	n/a	yes	AUSTIN, TX	Current employment
STARK FINANCIAL ADVISERS, INC.	Former SEC adviser	Aug 25, 2020	May 17, 2023	no	OKEECHOBEE, FL\|Seminole, FL	Previous registration
MUTUAL TRUST ASSET MGMT., INC.	Independent wealth	Aug 11, 2015	Jun 8, 2020	no	Seminole, FL\|SEMINOLE, FL\|TAMPA, FL	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Nov 9, 2012	Jul 10, 2015	no	SEMINOLE, FL	Previous registration
Spc	Bd affiliated wealth	Oct 8, 2007	Nov 12, 2012	no	SEMINOLE, FL\|ANN ARBOR, MI	Previous registration
ASSET & FINANCIAL PLANNING, LTD	Former SEC adviser	Feb 9, 2007	Oct 10, 2007	no	CLEARWATER, FL	Previous registration
Spc	Bd affiliated wealth	May 6, 2002	Feb 12, 2007	no	SEMINOLE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STARK FINANCIAL ADVISERS, INC.	Forefront	May 17, 2023	Jul 7, 2023	51	Firm change	RIA to RIA
MUTUAL TRUST ASSET MGMT., INC.	STARK FINANCIAL ADVISERS, INC.	Jun 8, 2020	Aug 25, 2020	78	Firm change	RIA to RIA
SUMMIT FINANCIAL GROUP INC	MUTUAL TRUST ASSET MGMT., INC.	Jul 10, 2015	Aug 11, 2015	32	Firm change	Other
Spc	SUMMIT FINANCIAL GROUP INC	Nov 12, 2012	Nov 9, 2012	-3	Firm change	Other
ASSET & FINANCIAL PLANNING, LTD	Spc	Oct 10, 2007	Oct 8, 2007	-2	Firm change	Other
Spc	ASSET & FINANCIAL PLANNING, LTD	Feb 12, 2007	Feb 9, 2007	-3	Firm change	Other

Relationships

Registered with (6)

→ FOREFRONTRegistered adviserregistration: current employment
Jul 7, 2023 to presentfactForm ADV
→ STARK FINANCIAL ADVISERS, INC.Registered adviserregistration: previous registration
Aug 25, 2020 to May 17, 2023factForm ADV
→ MUTUAL TRUST ASSET MGMT., INC.Registered adviserregistration: previous registration
Aug 11, 2015 to Jun 8, 2020factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Nov 9, 2012 to Jul 10, 2015factForm ADV
→ SPCRegistered adviserregistration: previous registration
Oct 8, 2007 to Nov 12, 2012factForm ADV
→ ASSET & FINANCIAL PLANNING, LTDRegistered adviserregistration: previous registration
Feb 9, 2007 to Oct 10, 2007factForm ADV

Dated events

Occurred
May 17, 2023
Advisor changed firm
Gerald E Shaw left Stark Financial Advisers, Inc. for Forefront (registered 2023-07-07)
Form ADVobserved 6 days ago