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JS

Jeffrey S. Shippy

AUDACITY CAPITAL PARTNERS
Santa Clarita, CA 91350
Some features on this profile are disabled
CRD#: 4845944
JS

Professional summary

Jeffrey Scott Shippy, who also goes by Jeffrey Shippy, is a registered financial professional currently at AUDACITY CAPITAL PARTNERS LLC located in Santa Clarita, California.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2008. Jeffrey has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Shippy

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) - BD

Click below to view Jeffrey Scott Shippy'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®
None

Experience

Current

July 6, 2023 - Present

AUDACITY CAPITAL PARTNERS LLC

Office #1: 26455 Riverrock Way, Santa Clarita, CA 91350
BD
CRD#: 324164
Santa Clarita, CA
Past

July 7, 2011 - August 21, 2020

STOUT CAPITAL, LLC

BD
CRD#: 127302
LOS ANGELES, CA
Past

July 9, 2009 - February 28, 2011

MOSAIC CAPITAL SECURITIES, LLC

BD
CRD#: 106637
SHERMAN OAKS, CA
Past

July 2, 2008 - January 14, 2009

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
LOS ANGELES, CA

State Registrations and Notice Filings

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

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
California
(7/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 7/6/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AUDACITY CAPITAL PARTNERS LLC
AUDACITY CAPITAL PARTNERS LLC

CRD#: 324164 / SEC#: , 8-71018

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Contact information

Main Address
26455 Riverrock Way, Santa Clarita, CA 91350
Mailing Address
10866 Wilshire Blvd 4th Floor, Los Angeles, CA, 90024
Phone number
(818) 489-1316
Established
California since 01/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SHIPPY, JEFFREY SCOTTPRESIDENT/CEO/CCO4845944
ANDERSON, KATHERINE ALICEFINOP/CFO4723171

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

AUDACITY CAPITAL PARTNERS LLC

CRD#: 324164Santa Clarita, CA 91350

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