NOTMAN JOHN SHAW
Legal name: DBA NOTMAN FINANCIAL GROUP
CRD #108959 SEC #801-57979 STOCKTON, CA 209-955-5955
SEC Registered
Total AUM
$3.7M
Discretionary
$3.7M
Employees
1
Clients
101
Accounts
119
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 12, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| NOTMAN, JOHN, SHAW | I | PRESIDENT | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| NOTMAN, JOHN, SHAW | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Dec 12, 2012 REGISTERED
Notice Filings (1)
CA
Address
3133 WEST MARCH LANESUITE 2000
STOCKTON, CA 95219
United States
Phone: 209-955-5955