Elaine S. Kwei

GKV CAPITAL MANAGEMENT CO

Walnut Creek, CA 94597

Some features on this profile are disabled

CRD#: 5109945

Professional summary

Elaine Shin Kwei, who also goes by Kwei Elaine Shin, is a registered financial advisor currently at GKV CAPITAL MANAGEMENT CO INC located in Walnut Creek, California.

Elaine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Elaine has worked at 4 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kwei Elaine Shin

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) - RIA

Click below to view Elaine Shin Kwei's CRS (Customer Relationship Summary).

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

January 30, 2025 - Present

GKV CAPITAL MANAGEMENT CO INC

Office #1: 1350 Treat Blvd Suite 260, Walnut Creek, CA 94597

RIA

CRD#: 108767

Walnut Creek, CA

Past

April 21, 2010 - May 18, 2020

JEFFERIES LLC

CRD#: 2347

SAN FRANCISCO, CA

Past

January 10, 2008 - April 14, 2010

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

September 18, 2006 - January 3, 2008

SIGNAL HILL CAPITAL GROUP LLC

CRD#: 122782

SAN FRANCISCO, CA

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".

GKV CAPITAL MANAGEMENT CO INC

CRD#: 108767 / SEC#: 801-11341

RIA

Registered Investment Advisory firm - (3/12/1976 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(1/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/18/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/25/2022

General Securities Representative Examination

General Industry/Product Exam

Series 86

Date: 11/25/2022

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 11/25/2022

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/25/2022

General Securities Principal Examination

Current Firm

GKV CAPITAL MANAGEMENT CO INC

CRD#: 108767 / SEC#: 801-11341

RIA

Registered Investment Advisory firm - (3/12/1976 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1350 Treat Blvd Suite 260, Walnut Creek, CA 94597

Mailing Address

Phone number

(925) 627-8680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GKV ADV (2/26/2025)

Regulatory assets under management

Total Number of Accounts	383
AUM (Assets Under Management)	$ 317,176,594

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.

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Elaine S. Kwei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elaine Shin Kwei's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

PIPER SANDLER & CO.

SIGNAL HILL CAPITAL GROUP LLC

Primary Firm SEC Registration

GKV CAPITAL MANAGEMENT CO INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2006

Series 7TO

Date: 11/25/2022

Series 86

Date: 11/25/2022

Series 87

Date: 11/25/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2006

Series 24

Date: 11/25/2022

Current Firm

GKV CAPITAL MANAGEMENT CO INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GKV CAPITAL MANAGEMENT CO INC

TRUST BUT VERIFY

Similar Advisors