Kirk R. Sheldon

CAPITAL FINANCIAL MANAGEMENT

San Diego, CA 92108-3718

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CRD#: 1062156

Professional summary

Kirk Roy Sheldon, CFP® is a registered financial advisor currently at CAPITAL FINANCIAL MANAGEMENT located in San Diego, California.

Kirk is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Kirk has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I AM A REGISTERED INVESTMENT ADVISOR. THE COMPANY NAME IS CAPITAL FINANCIAL MANAGEMENT. I BEGAN THE RIA IN JULY OF 1994 AND MY ADDRESS IS THE ADDRESS OF RECORD.I DEVOTE APPROXIMATELY 80% OF MY BUSINESS TIME TO THIS RIA BUSINESS. CAPITAL BROKERS AND CAPITAL PROPERTY MANAGEMENT, REAL ESTATE BROKERAGE AND PROPERTY MGT. IS DEVOTED ABOUT 15% OF MY BUSINESS TIME AND THE CAPITAL GROUP IS DEVOTED ABOUT 5% OF MY BUSINESS TIME DOING CONSULTING AND INSURANCE WORK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Roy Sheldon's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

May 14, 2012 - Present

CAPITAL FINANCIAL MANAGEMENT

Office #1: 2221 Camino Del Rio South Suite 303, San Diego, CA 92108-3718

RIA

CRD#: 130841

San Diego, CA

Past

August 26, 1982 - November 2, 2011

CAPITAL GROWTH RESOURCES

CRD#: 7779

SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/14/2012)

IAR

Texas
(5/13/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Current Firm

CAPITAL FINANCIAL MANAGEMENT

CAPITAL FINANCIAL MANAGEMENT | SHELDON, KIRK ROY

CRD#: 130841 / SEC#: 801-62915

RIA

Registered Investment Advisory firm - (6/14/2012 Terminated)

California

Registered Investment Advisory firm - (6/5/2012 Approved)

Texas

Registered Investment Advisory firm - (4/15/2020 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2221 Camino Del Rio South Suite 303, San Diego, CA 92108-3718

Mailing Address

Phone number

(619) 295-4883

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 65,230,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Kirk R. Sheldon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Roy Sheldon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL FINANCIAL MANAGEMENT

CAPITAL GROWTH RESOURCES

State Registrations and Notice Filings

Exams

Series 63

Date: 9/24/1984

Series 7

Date: 8/21/1982

Current Firm

CAPITAL FINANCIAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL FINANCIAL MANAGEMENT

TRUST BUT VERIFY

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