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Kevin W. Shaw

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CRD#: 4549353
KS

Professional summary

Being a previously registered professional could mean that this person 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.

Kevin W Shaw was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2002. Kevin had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. 12/05/2012 - CAPITAL POINT FINANCIAL GROUP LTD - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 5% 2. 01/12/2023 - Shaw Consulting - Investment Related - Home Based - Tax Prep/Accounting/CPA - President - Start Date - 02/01/1997 - 20 Hours Per Month/20 Hours During Securities Trading

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

October 12, 2018 - January 8, 2024

CAPITAL POINT FINANCIAL GROUP, LTD.

RIA
CRD#: 171867
Fort Collins, CO
Past

January 8, 2013 - December 26, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
GLENVIEW, IL
Past

January 8, 2013 - December 26, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
GLENVIEW, IL
Past

October 16, 2009 - December 31, 2012

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
FORT COLLINS, CO
Past

October 16, 2009 - December 31, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FORT COLLINS, CO
Past

August 11, 2006 - October 23, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA
CRD#: 139233
FORT COLLINS, CO
Past

August 10, 2005 - August 23, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
GREENWOOD VILLAGE, CO
Past

January 23, 2004 - October 23, 2009

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
FORT COLLINS, CO
Past

September 24, 2002 - April 1, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA

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
RR
IAR
Series 66
Date: 8/23/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2002
General Securities Representative Examination

Current Firm

CP
CAPITAL POINT FINANCIAL GROUP, LTD.
CAPITAL POINT FINANCIAL GROUP, LTD.

CRD#: 171867 / SEC#: 801-113136

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Contact information

Main Address
4350 Di Paolo Center Suite B, Glenview, IL 60025
Mailing Address
Phone number
(847) 635-8435
Established
Firm type
Fiscal year end
# of Employees
13

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL POINT DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (2/13/2023)

Regulatory assets under management

Total Number of Accounts1,604
AUM (Assets Under Management)$ 312,603,701

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

CAPITAL POINT FINANCIAL GROUP, LTD.

CRD#: 171867

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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