KS
Kenneth J. Shahbaz
HOLDERNESS INVESTMENTS CO
Greensboro, NC 27408
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CRD#: 3223030
KS
Professional summary
Kenneth Joseph Shahbaz, CFP® is a registered financial advisor currently at HOLDERNESS INVESTMENTS CO located in Greensboro, North Carolina.
Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
Business Name: Shahbaz Carothers & Company, PA Investment Related: No Address: 2102 N. Elm Street, Suite C Greensboro NC 27408 Nature of Business: Tax/Accounting Position, Title or Relationship: Owner Start Date: 10/1/2000 Hours per month: 50% (80 hours) Hours per month during trading hours: 40% (25 hours) Duties: Manager of the business on a daily basis. Business Name: Holderness Asset Solutions, LLC Investment Related: No Address: 2102 N. Elm Street, Suite C Greensboro NC 27408 Nature of Business: Insurance services Position, Title or Relationship: Insurance Agent Start Date: 01/25/2017 Hours per month: 10% (or 16 hours) Hours per month during trading hours: 10% (16 hours) Duties: Works with clients through this company offering insurance services Business Name: Old North State Council, Scouting America Investment Related: Yes Address: 1405 Westover Terrace, Greensboro, NC 27408 Nature of Business: Local Council of Boy Scouts of America Position: Board Member, Chairman of Audit Committee, and member of Foundation Advisory Board Start Date: July 2010 Hours: 2 hours per month (none during securities trading hours). Duties: Board Member - Attend quarterly Board meetings and vote on issues related to management of the program, budget and financial matters, and general matters; Audit Committee Member - Attend quarterly meetings, select outside firm to conduct audit, and assist with the same as needed; Foundation Advisory Board Member - Attend periodic meetings, select outside manager to manage assets, and review the performance of the outside manager. Business Name: FNZ, Inc. Address: 2102 N. Elm Street, Suite A, Greensboro, NC 27408 Nature of Business: Private Foundation Investment-Related: Yes. Position: Director. Start Date: April 2020 Hours: 2 hours per month, including during securities trading hours. Duties: Attend periodic meetings and assist with general matters, operations matters, and tax-related matters.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Joseph Shahbaz'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®
Start date: 1987
Experience
Current
January 26, 2017 - Present
HOLDERNESS INVESTMENTS CO
Office #1: 2102 N. Elm Street Suite C, Greensboro, NC 27408RIA
CRD#: 106530
Greensboro, NC
Past
February 8, 2017 - October 1, 2025
INTERCAROLINA FINANCIAL SERVICES, INC.
BD
CRD#: 19475
GREENSBORO, NC
Past
April 19, 2016 - January 27, 2017
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
GREENSBORO, NC
Past
November 17, 2005 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
GREENSBORO, NC
Past
November 11, 2005 - January 27, 2017
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
GREENSBORO, NC
Past
May 14, 1999 - January 2, 2004
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
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".
HI
HOLDERNESS INVESTMENTS CO
HOLDERNESS INVESTMENTS CO
CRD#: 106530 / SEC#: 801-49875
RIA
Registered Investment Advisory firm - (8/14/1995 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.Highlighted states indicate IAR registrations
IAR
North Carolina(1/26/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HI
HOLDERNESS INVESTMENTS CO
HOLDERNESS INVESTMENTS CO
CRD#: 106530 / SEC#: 801-49875
RIA
Registered Investment Advisory firm - (8/14/1995 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2102 N. Elm Street Suite C, Greensboro, NC 27408
Mailing Address
Phone number
(336) 574-1400
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 750 |
| AUM (Assets Under Management) | $ 621,038,355 |
Red Flags
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Company Information
HOLDERNESS INVESTMENTS CO
CRD#: 106530Greensboro, NC 27408TRUST BUT VERIFY
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