SS
Steven B. Shaiman
COLORADO FINANCIAL SERVICE
livingston, NJ
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CRD#: 4114227
SS
Professional summary
Steven Brian Shaiman, who also goes by Steven B Shaiman, is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in Livingston, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven B Shaiman
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.
1)STEVEN B. SHAIMAN, CPA - NOT INVESTMENT RELATED - 4 KNOLLWOOD DR. LIVINGSTON, NJ 07039 - HRS. DEVOTED A MONTH - 200 HRS. START DATE 10/6/89 TO PRESENT. NATURE-TAX AND ACCOUNTING SVCS. - 8 HOURS DURING TRADING
2)INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES
NOT INVESTMENT RELATED, 1% TIME DEVOTED TO THIS ACTIVITY
3) NEWMARK ASSOCIATES / REAL ESTATE SALES - RENTALS / HOLDS HIS REAL ESTATE LICENSE THERE / 7 East Frederick Place, Suite 500, Cedar Knolls, NJ 07927 / NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Steven Brian Shaiman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Brian Shaiman'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
July 13, 2018 - Present
COLORADO FINANCIAL SERVICE CORPORATION
RIA
BD
CRD#: 104343
livingston, NJ
Current
July 5, 2018 - Present
COLORADO FINANCIAL SERVICE CORPORATION
Office #1: 188 Inverness Drive West Suite 100, Centennial, CO 80112RIA
BD
CRD#: 104343
Centennial, CO
Past
January 14, 2004 - December 15, 2017
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
LIVINGSTON, NJ
Past
January 2, 2004 - December 15, 2017
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
TAMPA, FL
Past
April 24, 2002 - December 4, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 5, 2000 - March 20, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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
New Jersey(7/5/2018)
IAR
New Jersey(7/13/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/23/2009
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COLORADO FINANCIAL SERVICE CORPORATION
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
CRD#: 104343 / SEC#: 801-76716, 8-52817
RIA
Registered Investment Advisory firm - SEC (8/8/2013 Terminated)Alaska
Registered Investment Advisory firm - SEC (5/7/2024 Approved)Arizona
Registered Investment Advisory firm - SEC (9/25/2017 Approved)California
Registered Investment Advisory firm - SEC (7/30/2013 Approved)Colorado
Registered Investment Advisory firm - SEC (7/24/2013 Approved)Florida
Registered Investment Advisory firm - SEC (4/23/2013 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/14/2023 Approved)Maryland
Registered Investment Advisory firm - SEC (3/24/2022 Terminated)Montana
Registered Investment Advisory firm - SEC (2/3/2017 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/29/2013 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/4/2023 Approved)Ohio
Registered Investment Advisory firm - SEC (5/19/2017 Approved)Oregon
Registered Investment Advisory firm - SEC (6/4/2021 Approved)South Carolina
Registered Investment Advisory firm - SEC (1/3/2018 Approved)Texas
Registered Investment Advisory firm - SEC (7/14/2023 Approved)Washington
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Wyoming
Registered Investment Advisory firm - SEC (1/31/2025 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112
Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112
Phone number
(303) 962-7267
Established
Colorado since 06/13/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
38
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
