KC
Karen S. Cunningham
KESTRA ADVISORY SERVICES
Oklahoma City, OK 73120
Some features on this profile are disabled
CRD#: 1134960
KC
Professional summary
Karen Shaw Cunningham, who also goes by Karen Conley Shaw, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Oklahoma City, Oklahoma and KESTRA INVESTMENT SERVICES, LLC located in Oklahoma City, Oklahoma.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Karen has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Conley Shaw
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.
Business Name: Oklahoma Financial Center, Inc Investment Related: Yes Address: 12436 St. Andrews Drive Oklahoma City OK 73120 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: president, employee Start Date: 9/1/1987 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: manager, financial planner, president. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 1250 Capital of Texas Highway, Building 2 Suite 125 Austin TX 78746 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: First Peter Four Ten, LLC Investment Related: No Address: 5900 Mosteller Drive #142 Oklahoma city OK 73120 Nature of Business: Real Estate Position, Title or Relationship: managing member Start Date: 1/1/1998 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: receiving rental income, renewing lease. Business Name: Faithful Provision, LLC Investment Related: No Address: 3616 Harden Blvd Lakeland FL 33803 Nature of Business: Real Estate Position, Title or Relationship: managing member of the LLC. Start Date: 7/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: passive investor only. Business Name: First National Bank of Oklahoma Investment Related: No Address: 5101 N Western OKLAHOMA CITY OK 73118 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: board member Start Date: 4/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: attend two social meetings per year. Business Name: Trinity Financial Services Investment Related: No Address: 12436 St. Andrews Drive Oklahoma City OK 73120 Nature of Business: Other Back Office Operations; TPA Position, Title or Relationship: manager Start Date: 9/1/1987 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: oversight of employees of the firm and ongoing due diligence Business Name: CH EQUINE INVESTMENTS LLC POSITION: Member NATURE: Equine activity INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2024 ADDRESS: 5900 mosteller drive, 142, oklahoma city OK 73112, United States DESCRIPTION: Limited. Some capital contribution.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Shaw Cunningham'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®
NoneExperience
Current
April 25, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 12436 St. Andrews Dr., Oklahoma City, OK 73120RIA
CRD#: 283330
Oklahoma City, OK
Current
August 8, 2001 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 12436 St. Andrews Dr., Oklahoma City, OK 73120BD
CRD#: 42046
Oklahoma City, OK
Past
August 22, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
October 11, 1989 - August 9, 2001
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
March 31, 1989 - October 17, 1989
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
June 23, 1987 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
Past
August 29, 1986 - July 1, 1987
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
Past
July 3, 1986 - September 3, 1986
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
Past
February 28, 1985 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
BD
CRD#: 3461
Past
May 26, 1983 - February 6, 1985
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/18/2020)
RR
Arkansas(9/25/2008)
RR
Colorado(11/5/2020)
RR
Florida(5/13/2013)
RR
Georgia(9/22/2010)
RR
Idaho(1/19/2010)
RR
Illinois(11/3/2015)
RR
Kansas(4/6/2010)
RR
Louisiana(10/27/2015)
RR
Minnesota(4/11/2025)
RR
Missouri(8/8/2001)
RR
Montana(10/26/2015)
RR
New Mexico(7/19/2011)
RR
New York(10/28/2019)
RR
North Carolina(5/28/2020)
RR
Ohio(10/16/2013)
RR
Oklahoma(8/8/2001)
IAR
Oklahoma(4/25/2016)
RR
Pennsylvania(10/28/2019)
RR
Texas(11/27/2001)
IAR
Texas(7/27/2023)
RR
Virginia(8/16/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
