SS
Stephen E. Shadrock
VICTORY CAPITAL MANAGEMENT
San Antonio, TX 78256
Some features on this profile are disabled
CRD#: 5672341
SS
Professional summary
Stephen Edward Shadrock, who also goes by Stephen Shadrock, is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in San Antonio, Texas and VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Stephen has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Shadrock
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Edward Shadrock'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®
NoneExperience
Current
January 22, 2021 - Present
VICTORY CAPITAL MANAGEMENT INC.
Office #1: 15935 La Cantera Pkwy, San Antonio, TX 78256RIA
CRD#: 106189
San Antonio, TX
Current
July 1, 2019 - Present
VICTORY CAPITAL SERVICES, INC.
Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256BD
CRD#: 37059
San Antonio, TX
Past
January 8, 2018 - July 3, 2019
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
March 8, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
April 19, 2011 - March 13, 2013
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
December 21, 2010 - July 1, 2019
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
August 3, 2009 - March 5, 2010
EDWARD JONES
RIA
CRD#: 250
SPRING BRANCH, TX
Past
July 20, 2009 - March 5, 2010
EDWARD JONES
BD
CRD#: 250
SPRING BRANCH, TX
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".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 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.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(7/1/2019)
RR
Alaska(7/1/2019)
RR
Arizona(7/1/2019)
RR
Arkansas(7/1/2019)
RR
California(7/1/2019)
RR
Colorado(7/1/2019)
RR
Connecticut(7/1/2019)
RR
Delaware(7/1/2019)
RR
District of Columbia(7/1/2019)
RR
Florida(7/2/2019)
RR
Georgia(7/1/2019)
RR
Hawaii(7/1/2019)
RR
Idaho(7/1/2019)
RR
Illinois(7/1/2019)
RR
Indiana(7/1/2019)
RR
Iowa(7/1/2019)
RR
Kansas(7/1/2019)
RR
Kentucky(7/1/2019)
RR
Louisiana(7/1/2019)
RR
Maine(7/1/2019)
RR
Maryland(7/1/2019)
RR
Massachusetts(7/1/2019)
RR
Michigan(7/1/2019)
RR
Minnesota(7/1/2019)
RR
Mississippi(7/1/2019)
RR
Missouri(7/1/2019)
RR
Montana(7/1/2019)
RR
Nebraska(7/1/2019)
RR
Nevada(7/1/2019)
RR
New Hampshire(7/1/2019)
RR
New Jersey(7/1/2019)
RR
New Mexico(7/1/2019)
RR
New York(7/1/2019)
RR
North Carolina(7/1/2019)
RR
North Dakota(7/1/2019)
RR
Ohio(7/1/2019)
RR
Oklahoma(7/1/2019)
RR
Oregon(7/1/2019)
RR
Pennsylvania(7/1/2019)
RR
Puerto Rico(7/1/2019)
RR
Rhode Island(7/1/2019)
RR
South Carolina(7/1/2019)
RR
South Dakota(7/1/2019)
RR
Tennessee(7/1/2019)
RR
Texas(7/1/2019)
IAR
Texas(1/22/2021)
RR
Utah(7/1/2019)
RR
Vermont(7/1/2019)
RR
Virginia(7/1/2019)
RR
Washington(7/1/2019)
RR
West Virginia(7/1/2019)
RR
Wisconsin(7/1/2019)
RR
Wyoming(7/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,566 |
| AUM (Assets Under Management) | $ 152,291,202,954 |
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.
