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Craig Evan Sheftell

FALLBROOK CAPITAL SECURITIES
CALABASAS, CA
·CRD# 1200482·43 years experience

Professional Summary

Craig Evan Sheftell is a registered financial advisor currently at FALLBROOK CAPITAL SECURITIES CORP. located in Calabasas, California. Craig is registered as a RR (Registered Representative) and started their career in finance in 1983. Craig has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

43 years in the financial services industry

Current & Past Employments

FALLBROOK CAPITAL SECURITIES CORP.·CRD# 101180
BD
26610 Agoura Road Suite 120, Calabasas, CA 91302
April 3, 2000 - Present
LIDO·CRD# 269866
RIA
Los Angeles, CA
July 1, 2015 - August 30, 2023
LIDO ADVISORS·CRD# 119540
RIA
Calabasas, CA
September 16, 2014 - July 22, 2015
UNITED CALIFORNIA SECURITIES, INC.·CRD# 25307
BD
Encino, CA
October 1, 1991 - April 13, 2000
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
February 18, 1986 - October 9, 1991
NS SECURITIES, INC.·CRD# 10770
BD
December 9, 1985 - February 27, 1986
E. F. HUTTON & COMPANY INC·CRD# 235
BD
October 19, 1983 - December 21, 1984

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Current Firm

FC
FALLBROOK CAPITAL SECURITIES CORP.

CALABASAS CAPITAL | FALLBROOK CAPITAL SECURITIES CORP. | FALLBROOK CAPITAL CORPORATION

CRD#: 101180 / SEC#: 8-52068
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Contact Information

Main Address

26610 Agoura Road Suite 120, Calabasas, CA 91302

Mailing Address

26610 Agoura Road Suite 120, Calabasas, CA 91302

Phone Number

(818) 657-6100

Established

Florida since 08/04/1999

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (26 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
BLANKEN, BRANDT ANDREWSHAREHOLDER2245313
ELLEN, WENDY CHERYLCCO AND AMLCO5606560
LEDERER, JOSH KENTPRESIDENT/PRINCIPAL/SHAREHOLDER4898773
SHEFTELL, CRAIG EVANVICE PRESIDENT, SHAREHOLDER1200482
KINZER, CAROL ANNFINOP/CFO4519471

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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.

-FALLBROOK AFFORDABLE HOUSING, LP PROVIDES CONSULTING SERVICES TO AN ASSET MANAGEMENT COMPANY WHICH OVERSEES A PORTFOLIO OF AFFORDABLE MULTIFAMILY PROPERTIES. NONE OF FALLBROOK AFFORDABLE HOUSING COMPENSATION IS THE RESULT OF SECURITIES TRANSACTIONS. -FALLBROOK ASSET MANAGEMENT, LP PROVIDES ASSET MANAGEMENT SERVICES TO AN INSTITUTIONAL CLIENT WHO OWNS A PORTFOLIO OF AFFORDABLE MULTIFAMILY PROPERTIES. NONE OF FALLBROOK ASSET MANAGEMENT COMPENSATION IS THE RESULT OF SECURITIES TRANSACTIONS. -FALLBROOK CREDIT FINANCE, LLC FINANCES TAX CREDIT CERTIFICATES WHICH ARE GENERATED FROM BROWNFIELD REMEDIATION, HISTORIC PRESERVATION, FILM PRODUCTION OR OTHER MEANS UNDER STATE INCENTIVE PROGRAMS. NONE OF FALLBROOK CREDIT FINANCE TRANSACTIONS ARE SECURITIES AS THE CERTIFICATES ARE PROPERTY OF THE SELLER. -FALLBROOK ENERGY INVESTMENTS, LLC DEVELOPS RENEWABLE ENERGY PROJECTS AND PROVIDES DUE DILIGENCE AND CONSULTING SERVICES TO INVESTORS IN AND DEVELOPERS OF RENEWABLE ENERGY PROJECTS AND DEVELOPS SMALL SOLAR PROJECTS. OUR CONSULTING AGREEMENTS ARE BASED ON SPECIFIC SERVICES PROVIDED ON AN HOURLY OR PROJECT BASIS. -FALLBROOK MULTIFAMILY INVESTMENTS, LLC, INVESTS IN AFFORDABLE MULTIFAMILY PROPERTIES, DEVELOPS NEW OR RENOVATES PROPERTIES AND PROVIDES ASSET MANAGEMENT SERVICES. AS AN OFFICER I WILL PARTICIPATE IN MANY ACTIVITIES OF THE COMPANY. -FALLBROOK TAX CREDITS, LLC BUYS AND SELLS TAX CREDIT CERTIFICATES WHICH ARE GENERATED FROM BROWNFIELD REMEDIATION, HISTORIC PRESERVATION, FILM PRODUCTION OR OTHER MEANS UNDER STATE INCENTIVE PROGRAMS. NONE OF FALLBROOK TAX CREDIT'S TRANSACTIONS ARE SECURITIES AND THE CERTIFICATES ARE PROPERTY OF THE SELLER. -FALLBROOK LOAN FUND, LLC MAKES LOANS TO COMPANIES THAT GENERATE TAX CREDITS OR OWN TAX CREDIT PROPERTIES. MR. SHEFTELL HAS MINIMAL PARTICIPATION. NONE OF FALLBROOK LOAN FUND'S COMPENSATION IS THE RESULT OF A SECURITIES TRANSACTION. -LIDO ADVISORS, CALIFORNIA, 07/2015 TO PRESENT, INVESTMENT ADVISOR REPRESENTATIVE, BUSINESS DEVELOPMENT AND CLIENT SERVICING WORKING WITH HIGH NET WORTH INDIVIDUALS AND FAMILIES. -WASPS, LLC, CALIFORNIA, 08/2015 TO PRESENT, PRODUCER FOR FILM DEVELOPMENT COMPANY, VERY MINIMAL TIME SPENT ON THIS ACTIVITY. NON-INVESTMENT RELATED ACTIVITY. -CS GLOBAL, APRIL 15, 2016 - PRESENT. CONTRACT WITH THE STATE OF KANSAS DEPARTMENT OF ADMINISTRATION. ECONOMIC DEVELOPMENT CONSULTING. NON-INVESTMENT RELATED. -RIVELLE PRODUCTS, INC. - MAY 5, 2020 TO PRESENT. STOCKHOLDER AND CONSULTANT. NON-INVESTMENT RELATED. -FALLBROOK MORTGAGE FUND, LLC - PURCHASES AND MANAGES A PORTFOLIO OF MORTGAGE LOANS. AS AN OFFICER, MR. SHEFTELL WILL PARTICIPATE IN ALL OF THE COMPANIES ACTIVITIES. NONE OF FALLBROOK MORTGAGE FUND'S COMPENSATION IS THE RESULT OF A SECURITIES TRANSACTION. THIS ACTIVITY IS NON-INVESTMENT RELATED.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(4/14/2000)
RR
Georgia
(5/2/2000)
RR
Hawaii
(1/16/2007)
RR
Washington
(8/29/2005)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1983About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1983About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Craig Evan Sheftell's CRS (Customer Relationship Summary).

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