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KS

Kelvin Shaw

Some features on this profile are disabled
CRD#: 4226230
KS

Professional summary

Kelvin Shaw was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kelvin is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Kelvin had worked at 3 firms, which includes BRECEK & YOUNG ADVISORS INC., LEGACY ADVISORY SERVICES INC., LEGACY FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly Shaw

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

September 19, 2005 - November 12, 2008

BRECEK & YOUNG ADVISORS, INC.

RIA
CRD#: 40395
TEMECULA, CA
Past

September 16, 2005 - November 12, 2008

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
TEMECULA, CA
Past

May 6, 2002 - September 16, 2005

LEGACY ADVISORY SERVICES, INC.

RIA
CRD#: 111027
TEMECULA, CA
Past

November 6, 2000 - September 16, 2005

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/16/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

B&
BRECEK & YOUNG ADVISORS, INC.
BRECEK & YOUNG ADVISORS, INC. | IRON POINT CAPITAL MANAGEMENT (IPCM) OR IRON POINT (IP) | IRON POINT CAPITAL MANAGEMENT

CRD#: 40395 / SEC#: 801-51940, 8-49022

BD
Terminated by SEC on 12/07/2009
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE- 03/30/2012 (3/30/2012)
FORM ADV PART 2- 03/30/2012 (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORPORATIONHOLDING COMPANY
DEWALD, TERRANCE SHAWNSENIOR VP, GENERAL COUNSEL, SECRETARY3173980
HEENEY, JAMES MICHEALSENIOR VP, SALES SUPERVISION AND OPERATIONS3019122
MCWHORTER, STEVEN FORDCEO, DIRECTOR2130681
MILLER, KEVIN JOSEPHCHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER4133001
NAGENGAST, JAMES DELWYNDIRECTOR2571451
PARSONS, GAYLE ELIZABETHVP, TREASURER, FINOP2824340
RANNEY, CHRISTOPHER JOHNPRESIDENT, DIRECTOR1708781
WERTHEIM, PAMELA JANINEDIRECTOR1311477

Disclosures

Regulatory Event5

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.

Company Information

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

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