Kevin D. Shorts

TRIBECA FINANCIAL

GILBERT, AZ

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CRD#: 5605051

Professional summary

Kevin Dean Shorts, CFP® is a registered financial advisor currently at TRIBECA FINANCIAL, LLC located in Gilbert, Arizona.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kevin has worked at 2 firms and has passed the Series 65 exam.

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.

1. INDEPENDENT INSURANCE AGENT; 2. SW WEALTHCARE SERVICES, LLC; FINANCIAL PLANNER - INDEPENDENT AFFILIATE; INVESTMENT RELATED; 77 WEST UNIVERSITY DRIVE, MESA, AZ 85201; FINANCIAL PLANNING; 10/HRS PER WEEK; 3/HRS PER WEEK SPENT DURING SECURITIES TRADING HOURS. 2. Shorts Financial Services, LLC; Member/Manager; Investment related: Yes; 2514 E Sierra Madre Ave Gilbert AZ 85296 USA; Duties: To manage, conduct and operate all company business; 2017-12-07; Hours per month devoted to business during trading hours: 160; Hours per month devoted to business outside trading hours: 40; Percentage of total yearly compensation expected to be derived from the business: 100;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Dean Shorts'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

January 25, 2012 - Present

TRIBECA FINANCIAL, LLC

RIA

CRD#: 113245

GILBERT, AZ

Past

April 9, 2009 - December 31, 2011

TRIBECA ADVISORS, LLC

RIA

CRD#: 148283

MESA, AZ

Past

February 4, 2009 - November 4, 2009

TRIBECA FINANCIAL, LLC

RIA

CRD#: 113245

MESA, AZ

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".

TRIBECA FINANCIAL, LLC

RICEDORFF FINANCIAL SERVICES LLC | WEALTH PLANNING STRATEGIES | TRIBECA FINANCIAL, LLC | TRIBECA CAPITAL MANAGEMENT, LLC | RICEDORFF FINANCIAL SERVICES LLC DBA TRIBECA FINANCIAL SERVICES, LLC

CRD#: 113245 / SEC#: 801-60441

RIA

Registered Investment Advisory firm - (7/27/2001 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

Arizona
(1/25/2012)

IAR

Texas
(5/18/2021)

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

IAR

Series 65

Date: 10/22/2008

Uniform Investment Adviser Law Examination

Current Firm

TRIBECA FINANCIAL, LLC

RICEDORFF FINANCIAL SERVICES LLC | WEALTH PLANNING STRATEGIES | TRIBECA FINANCIAL, LLC | TRIBECA CAPITAL MANAGEMENT, LLC | RICEDORFF FINANCIAL SERVICES LLC DBA TRIBECA FINANCIAL SERVICES, LLC

CRD#: 113245 / SEC#: 801-60441

RIA

Registered Investment Advisory firm - (7/27/2001 Approved)

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Contact information

Main Address

2812 N. Norwalk Ste 103, Mesa, AZ 85215

Mailing Address

Phone number

(480) 553-6247

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRIBECA FINANCIAL, LLC DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 202,643,084

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.

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Kevin D. Shorts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Dean Shorts's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIBECA FINANCIAL, LLC

TRIBECA ADVISORS, LLC

TRIBECA FINANCIAL, LLC

Primary Firm SEC Registration

TRIBECA FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2008

Current Firm

TRIBECA FINANCIAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRIBECA FINANCIAL, LLC

TRUST BUT VERIFY

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