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KS

Kenneth T. Shotsberger

VICTORY FINANCIAL
Park Ridge, IL
Some features on this profile are disabled
CRD#: 6186517
KS

Professional summary

Kenneth Thomas Shotsberger, who also goes by Ken Shotsberger, Kenneth Thomas Shotsberger, is a registered financial advisor currently at VICTORY FINANCIAL located in Park Ridge, Illinois.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Kenneth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ken Shotsberger | Kenneth Thomas Shotsberger

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.
GREENBUILD CAPITAL, LLC, MINORITY PARTNER, SILENT PARTNER AND INVESTOR IN A REAL ESTATE PROPERTY, START 06.2021, I HR PER MO., 15,000 COMP PER YR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Thomas Shotsberger'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

June 2, 2024 - Present

VICTORY FINANCIAL

RIA
CRD#: 324943
Park Ridge, IL
Past

September 13, 2017 - April 29, 2024

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
DEERFIELD, IL
Past

September 8, 2017 - April 29, 2024

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
DEERFIELD, IL
Past

September 4, 2014 - August 24, 2017

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
ADDISON, IL
Past

June 3, 2014 - August 21, 2014

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
QUINCY, IL
Past

July 9, 2013 - June 16, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SKOKIE, IL

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".
VF
VICTORY FINANCIAL
CAPITALWISE | VIRIDIAN WEALTH MANAGEMENT | VICTORY FINANCIAL GROUP LLC | VICTORY FINANCIAL GROUP AND INSURANCE SERVICES | VICTORY FINANCIAL | TRUSTLOVE CAPITAL LLC | STEADFAST WEALTH PLANNING | STANSELL WEALTH | L5 WEALTH PLANNING | KILMER FINANCIAL | CRÈME WEALTH

CRD#: 324943 / SEC#: 801-127385

RIA
Registered Investment Advisory firm - (2/24/2023 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
Illinois
(6/3/2024)
IAR
Texas
(6/2/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/21/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/1/2018
General Securities Principal Examination

Current Firm

VF
VICTORY FINANCIAL
CAPITALWISE | VIRIDIAN WEALTH MANAGEMENT | VICTORY FINANCIAL GROUP LLC | VICTORY FINANCIAL GROUP AND INSURANCE SERVICES | VICTORY FINANCIAL | TRUSTLOVE CAPITAL LLC | STEADFAST WEALTH PLANNING | STANSELL WEALTH | L5 WEALTH PLANNING | KILMER FINANCIAL | CRÈME WEALTH

CRD#: 324943 / SEC#: 801-127385

RIA
Registered Investment Advisory firm - (2/24/2023 Approved)
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Contact information

Main Address
6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730
Mailing Address
Phone number
(512) 763-7671
Established
Firm type
Fiscal year end
# of Employees
39

SEC notice filing (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR VICTORY FINANCIAL GROUP LLC (11/3/2025)

Regulatory assets under management

Total Number of Accounts4,210
AUM (Assets Under Management)$ 687,641,583

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

VICTORY FINANCIAL

CRD#: 324943Park Ridge, IL

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