Kenneth A. Shaw
Professional summary
Kenneth Andrew Shaw, who also goes by Kenneth Shaw, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in New York, New York and INVESCO DISTRIBUTORS, INC. located in New York, New York.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kenneth has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Andrew Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2018 - Present
INVESCO ADVISERS, INC.
Office #1: 225 Liberty St. 11th Floor, New York, NY 10281April 11, 2018 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 225 Liberty St 11th Floor, New York, NY 10281October 15, 2012 - October 24, 2017
ENVESTNET PMC
October 11, 2011 - May 11, 2012
PRIMA CAPITAL MANAGEMENT, INC.
Primary Firm SEC Registration
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/12/2018)
(4/3/2024)
(4/12/2018)
(5/9/2018)
(5/9/2018)
(2/14/2025)
(5/9/2018)
(5/9/2018)
(1/14/2025)
(5/9/2018)
(1/14/2025)
(12/20/2022)
(4/12/2018)
(5/9/2018)
(5/9/2018)
(2/14/2025)
(2/22/2018)
(1/14/2025)
(4/3/2024)
Exams
FINRA
Current Firm
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
