Mark P. Shively

MARK P. SHIVELY

CASTLE ROCK, CO

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CRD#: 1688769

Professional summary

Mark P Shively, who also goes by Mark Shively, is a registered financial advisor currently at MARK P. SHIVELY located in Castle Rock, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Shively

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 CURRENTLY PRESIDENT OF THE BOARD OF DIRECTORS OF CASTLE PINES NORTH HOMEOWNER'S ASSOCIATION #1, P.O. BOX 3445, ENGLEWOOD, CO 80155-3445. THIS IS NON INVESTMENT-RELATED ACTIVITY, PRIMARILY CIVIC IN NATURE, BUT THE ASSOCIATION IS A CORPORATION SUBJECT TO TAXATION. IT IS A HOMEOWNER'S ASSOCIATION, AND A VOLUNTEER POSITION. I BECAME A MEMBER OF THE BOARD OF DIRECTORS 3/2001 AND WAS ELECTED PRESIDENT 10/2001. MY TERM ENDS 9/2002. I DEVOTE TEN TO FIFTEEN HOURS PER MONTH. THIS MAY INCLUDE OCCASIONAL TELEPHONE CONVERSATIONS DURING SECURITIES TRADING HOURS. PRIMARILY I PRESIDE OVER ONE TO TWO MONTHLY BOARD MEETINGS HELD IN THE EVENING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark P Shively'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®

None

Experience

Current

January 1, 1999 - Present

MARK P. SHIVELY

RIA

CRD#: 113557

CASTLE ROCK, CO

Past

August 31, 1990 - October 1, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

June 26, 1987 - September 10, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Colorado
(1/1/1999)

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: 7/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Current Firm

MARK P. SHIVELY

CRD#: 113557 / SEC#:

Colorado

Registered Investment Advisory firm - (1/1/1999 Approved)

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Contact information

Main Address

Castle Pines, CO

Mailing Address

Phone number

(303) 888-9782

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 8,670,000

Red Flags

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

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Mark P. Shively

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark P Shively's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARK P. SHIVELY

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/16/1987

Series 7

Date: 6/20/1987

Current Firm

MARK P. SHIVELY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARK P. SHIVELY

TRUST BUT VERIFY

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