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SB

Shauna N. Bushman

KPG CAPITAL PARTNERS
PARK CITY, UT 84098
Some features on this profile are disabled
CRD#: 5231277
SB

Professional summary

Shauna Nmn Bushman, who also goes by Shauna Bushman, Shauna Nmn Dalton, Shauna Nmn Lloyd, is a registered financial professional currently at KPG CAPITAL PARTNERS, LLC located in Park City, Utah.

Shauna is registered as a RR (Registered Representative) and started their career in finance in 2007. Shauna has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shauna Bushman | Shauna Nmn Dalton | Shauna Nmn Lloyd

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 Shauna Nmn Bushman'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

April 12, 2013 - Present

KPG CAPITAL PARTNERS, LLC

Office #1: 1389 Center Drive Suite 200, Park City, UT 84098Office #2: 1389 Center Drive Suite 200, Park City, UT 84098
BD
CRD#: 165392
PARK CITY, UT
Past

October 27, 2008 - September 23, 2011

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
OREM, UT
Past

July 20, 2007 - August 28, 2008

INSPHERE SECURITIES, INC.

BD
CRD#: 136433
OREM, UT
Past

April 6, 2007 - August 9, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
OREM, UT

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
Alabama
(6/14/2013)
RR
Colorado
(5/31/2013)
RR
Connecticut
(5/15/2013)
RR
Delaware
(5/16/2013)
RR
District of Columbia
(5/14/2013)
RR
Florida
(6/12/2013)
RR
Georgia
(5/16/2013)
RR
Hawaii
(5/22/2013)
RR
Illinois
(5/20/2013)
RR
Indiana
(6/27/2013)
RR
Missouri
(5/28/2013)
RR
Nebraska
(5/30/2013)
RR
Nevada
(5/14/2013)
RR
New Hampshire
(6/5/2013)
RR
North Carolina
(6/28/2013)
RR
Ohio
(5/10/2013)
RR
Oregon
(5/21/2013)
RR
Texas
(5/21/2013)
RR
Utah
(4/23/2013)
RR
Virginia
(5/16/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
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: 4/5/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/7/2014
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/20/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KPG CAPITAL PARTNERS, LLC
KPG CAPITAL PARTNERS, LLC

CRD#: 165392 / SEC#: , 8-69158

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1389 Center Drive Suite 200, Park City, UT 84098
Mailing Address
1389 Center Drive Suite 200, Park City, UT 84098
Phone number
(212) 588-8889
Established
Delaware since 12/11/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GETTINGER, KENNETH PAULMANAGING MEMBER, EXECUTIVE REP., & GSP1511817
BUSHMAN, SHAUNA NMNCHIEF COMPLIANCE OFFICER, FINOP/CFO, CE OFFICER, AML OFFICER & GSP5231277

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

KPG CAPITAL PARTNERS, LLC

CRD#: 165392Park City, UT 84098

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