KS
Kevin F. Shaw
CITIZENS SECURITIES
Washington, DC 20005
Some features on this profile are disabled
CRD#: 4893761
KS
Professional summary
Kevin F Shaw, CFP® is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Washington, District Of Columbia.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kevin has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 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.
HOYAS UNLIMITED UNIVERSITY ATHLETICS ALUMNI ASSOCIATION (GEORGETOWN)3700 O STREET NW WASHINGTONDC 20057 OTHER UNIVERSITY ATHLETICS ALUMNI ASSOCIATION ALUMNI AND FORMER VARSITY SOCCER PLAYER FOR GEORGETOWN UNIVERSITY.NO PRIVATE POSITION TITLE: MEMBER, BOARD OF DIRECTORS HOYAS UNLIMITED GENERAL STATEMENT OF DUTIES: AS AN ELECTED, APPOINTED, OR EMERITUS MEMBER OF THE BOARD OF HOYAS UNLIMITED, YOU HAVE THE HONOR AND RESPONSIBILITY OF REPRESENTING ALL SUPPORTERS OF GEORGETOWN ATHLETICS. THIS DIVERSE POPULATION OF GEORGETOWN UNIVERSITY ALUMNI, PARENTS OF SCHOLAR-ATHLETES, AND FANS OF GEORGETOWN'S NUMEROUS INTERCOLLEGIATE SPORTS REQUIRES THAT YOU KEEP A GLOBAL PERSPECTIVE ON BEHALF OF ALL SUPPORTERS WHILE BRINGING YOUR OWN PARTICULAR EXPERTISE AND PERSPECTIVE TO THE WORK OF THE COMMITTEES AND OF THE FULL BOARD. DUTIES AND RESPONSIBILITIES: ? ATTEND AT LEAST ONE BOARD MEETING PER FISCAL YEAR. ? PARTICIPATE IN COMMITTEES AS ASSIGNED. ? MAKE A FINANCIAL CONTRIBUTION TO GEORGETOWN UNIVERSITY ATHLETICS IN EACH FISCAL YEAR (JULY 1 TO JUNE 30) YOU SERVE ON THE BOARD. GIFTS MAY BE MADE TO ANY DIVISION OF GEORGETOWN ATHLETICS, INCLUDING BUT NOT LIMITED TO THE ATHLETICS EXCELLENCE FUND OR ONE OF THE DEPARTMENTS 29 VARSITY PROGRAMS. GIFTS MAY BE ANNUAL FUND GIFTS (I.E. CURRENT-USE DOLLARS) OR MAJOR GIFTS (I.E. GIFTS TO FACILITIES OR SCHOLARSHIPS). AS A VOLUNTEER LEADER, YOUR LEVEL OF PARTICIPATION IS EXPECTED TO BE AT LEAST $500 PER FISCAL YEAR FOR VOTING DIRECTORS AND $2,500 FOR EMERITUS DIRECTORS. HOWEVER, BOARD MEMBERS WHO HAVE RECEIVED A DEGREE FROM A GEORGETOWN UNDERGRADUATE PROGRAM WITHIN THE LAST 5 YEARS ARE EXPECTED TO MAKE A CONTRIBUTION OF AT LEAST $100 PER FISCAL YEAR. AS A LEADER, YOUR GIFT MUST BE MADE WITHIN THE FIRST THREE MONTHS (JULY, AUGUST OR SEPTEMBER) OF EACH FISCAL YEAR. ? CULTIVATE NEW LEADERSHIP THROUGH YOUR EFFORTS ON BEHALF OF THE BOARD OF HOYAS UNLIMITED. ? CULTIVATE NEW AND EXISTING DONORS TO GEORGETOWN ATHLETICS WHO ARE EITHER FIRST-TIME DONORS OR THOSE WHO HAVE THE CAPACITY TO INCREASE THEIR GIVING. ? ENCOURAGED TO OFFER NOMINATIONS FOR AWARDS CONSIDERATION. ? SIGN THE GEORGETOWN UNIVERSITY ATHLETICS CONFIDENTIALITY STATEMENT. CONFIDENTIAL INFORMATION PERTAINING TO PARENTS, ALUMNI AND/OR OTHER DONORS SHALL BE SCRUPULOUSLY PROTECTED SO THAT THE RELATIONSHIP OF TRUST BETWEEN DONOR AND THE GEORGETOWN UNIVERSITY ATHLETIC DEPARTMENT AND THE PRIVACY OF THE INDIVIDUAL IS UPHELD. ? UNDERSTAND AND ADHERE TO ALL NCAA COMPLIANCE RULES. ? SIGN AND ADHERE TO ALL NECESSARY POLICIES AND BYLAW REQUIREMENTS.NOTWO HOURSYES
CRS (Client Relationship Summary) - RIA
Click below to view Kevin F Shaw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin F Shaw'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®
Experience
Current
October 8, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 1401 I Street N.w., Suite 110 Ms: Dc019, Washington, DC 20005RIA
BD
CRD#: 39550
Washington, DC
Current
October 8, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 1401 I Street N.w., Suite 110 Ms: Dc019, Washington, DC 20005RIA
BD
CRD#: 39550
Washington, DC
Past
October 23, 2020 - October 9, 2024
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
January 15, 2008 - October 9, 2024
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
January 10, 2005 - September 17, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
District of Columbia(10/8/2024)
IAR
District of Columbia(11/5/2024)
RR
Maryland(10/8/2024)
IAR
Maryland(10/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
