ES
Emmett L. Shiras
CANTERBURY CONSULTING
Newport Beach, CA 92660-6404
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CRD#: 6417227
ES
Professional summary
Emmett Livingston Shiras is a registered financial advisor currently at CANTERBURY CONSULTING INCORPORATED located in Newport Beach, California.
Emmett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Emmett has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
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) Emmett Shiras founded Shiras Ventures, LLC, which is private company for online retailing of furniture. Shiras Ventures, LLC is a for profit organization and compensates Emmett with equity. Shiras founded Shiras Ventures, LLC on May 3, 2024, and spends approximately 10 hours a month on that business.
CRS (Client Relationship Summary) - RIA
Click below to view Emmett Livingston Shiras'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
April 26, 2017 - Present
CANTERBURY CONSULTING INCORPORATED
Office #1: 610 Newport Center Drive Suite 500, Newport Beach, CA 92660-6404RIA
CRD#: 22875
Newport Beach, CA
Past
July 28, 2016 - March 6, 2017
APRIEM ADVISORS
RIA
CRD#: 108188
IRVINE, CA
Past
January 22, 2015 - June 29, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Aliso Viejo, CA
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".
CC
CANTERBURY CONSULTING INCORPORATED
CANTERBURY CAPITAL SERVICES, INC. | FLINT, KRUEGER, BEIMFOHR, & CLUCK INC. | CANTERBURY CONSULTING INCORPORATED | CANTERBURY CONSULTING GP I, LLC
CRD#: 22875 / SEC#: 801-34756, 8-39969
RIA
Registered Investment Advisory firm - SEC (9/7/1989 Approved)BD
Terminated by SEC on 12/13/2013
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
California(4/26/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
CANTERBURY CONSULTING INCORPORATED
CANTERBURY CAPITAL SERVICES, INC. | FLINT, KRUEGER, BEIMFOHR, & CLUCK INC. | CANTERBURY CONSULTING INCORPORATED | CANTERBURY CONSULTING GP I, LLC
CRD#: 22875 / SEC#: 801-34756, 8-39969
RIA
Registered Investment Advisory firm - SEC (9/7/1989 Approved)BD
Terminated by SEC on 12/13/2013
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Contact information
Main Address
610 Newport Center Drive Suite 500, Newport Beach, CA 92660-6404
Mailing Address
Phone number
(949) 721-9580
Established
California since 05/28/1988
Firm type
Corporation
Fiscal year end
December
# of Employees
69
SEC notice filing (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLUCK, DONALD ROBINSON | CHAIRMAN | 863902 |
| LAVEN, MICHAEL SCOTT | MANAGING DIRECTOR | 1497898 |
| MONTGOMERY, JERRY DALE III | MANAGING DIRECTOR | 1874730 |
| BERWANGER, ADELE HUGHES | MANAGING DIRECTOR | 2068413 |
| KRUEGER, KENNETH PETER | DIRECTOR | 275918 |
| PAREKH, POORVI RAJEN | PRESIDENT & CHIEF EXECUTIVE OFFICER | |
| BATRES, TERESA | CHIEF FINANCIAL OFFICER; FINOP | 5481832 |
| CHOWDHURY, DEBASHIS | MANAGING DIRECTOR | 3146678 |
| GRATTEAU, AMY MICHELLE | DIRECTOR OF MARKETING | 2986612 |
| JETT, AARON DAVIS | SENIOR RESEARCH ANALYST | 4102510 |
| KORNMANN, GREGORY BRYAN | MANAGER OF ANALYTICS | 4887512 |
| LEVEY, JASON E | VICE PRESIDENT | 4793252 |
| MITTMANN, MARK AUGUST | CHIEF COMPLIANCE OFFICER (CCO); AML COMPLIANCE OFFICER (AMLCO) | 5080856 |
| MOORE, JENIFER ANN | SR. CLIENT SERVICE SPECIALIST | 4313109 |
| PEDERSON, JANELLE | MANAGER OF HUMAN RESOURCES AND ADMINSTRATION | |
| QUINN, RYAN MICHAEL | SENIOR RESEARCH ANALYST | 3179079 |
| SCHIELEIN, RYAN OTTO | SENIOR RESEACH ANALYST | 4445017 |
| WOOD, NOLAN C | VICE PRESIDENT | 3041549 |
| YERKES, LEONARD A III | MANAGING DIRECTOR |
Regulatory assets under management
| Total Number of Accounts | 4,276 |
| AUM (Assets Under Management) | $ 7,391,449,526 |
Disclosures
| Regulatory Event | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | ||
| 08/28/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
