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Michael Kevin Sheff

CRD# 2830786·Registered 1997 - 2016
Previously Registered: Being a previously registered professional could mean that Michael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Michael Kevin Sheff was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1997 - 2016. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

29 years in the financial services industry

Current & Past Employments

GEORGE K. BAUM CAPITAL ADVISORS, INC.·CRD# 158813
BD
Kansas City, MO
January 7, 2014 - May 26, 2016
TRUIST SECURITIES, INC.·CRD# 6271
BD
Atlanta, GA
April 26, 2007 - February 11, 2014
CITICORP INVESTMENT SERVICES·CRD# 23988
BD
Long Island City, NY
August 13, 2004 - March 3, 2005
GIULIANI CAPITAL ADVISORS LLC·CRD# 111140
BD
Chicago, IL
June 20, 2001 - July 19, 2004
BANC OF AMERICA SECURITIES LLC·CRD# 26091
BD
New York, NY
January 17, 1997 - March 30, 2001

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Current Firm

GK
GEORGE K. BAUM CAPITAL ADVISORS, INC.

GEORGE K. BAUM CAPITAL ADVISORS, INC.

CRD#: 158813 / SEC#: 8-68927
BD
Terminated by SEC on 01/14/2020

Contact Information

Established

Missouri since 05/31/2011

Firm Type

Corporation

Fiscal Year End

October

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGE K. BAUM HOLDINGS, INC.PARENT—
BAUM, JONATHAN EDWARDCEO1492485
BJORNSON, DANA LLOYDCFO, CCO, FINOP3112986
HANSON, CHRISTOPHER ROBERTDIRECTOR2781642
QUATROCHI, NICHOLAS JOSEPHPRINCIPAL, FINOP2463410

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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 Jun 2007About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed May 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2014About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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