Kramer K. Shiflett

HOWARD CAPITAL MANAGEMENT

Roswell, GA 30076

Some features on this profile are disabled

CRD#: 6679109

Professional summary

Kramer K Shiflett is a registered financial advisor currently at HOWARD CAPITAL MANAGEMENT, INC. located in Roswell, Georgia.

Kramer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Kramer has worked at 2 firms and has passed the Series 66, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kramer K Shiflett'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

July 12, 2018 - Present

HOWARD CAPITAL MANAGEMENT, INC.

Office #1: 1145 Hembree Rd., Roswell, GA 30076

RIA

CRD#: 118070

Roswell, GA

Past

December 1, 2016 - March 14, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ALPHARETTA, GA

Past

September 1, 2016 - March 14, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ALPHARETTA, GA

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".

HOWARD CAPITAL MANAGEMENT, INC.

CRD#: 118070 / SEC#: 801-69763

RIA

Registered Investment Advisory firm - (12/15/2008 Approved)

Georgia

Registered Investment Advisory firm - (1/9/2009 Terminated)

Texas

Registered Investment Advisory firm - (12/15/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Georgia
(7/12/2018)

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 66

Date: 11/16/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2016

General Securities Representative Examination

Current Firm

HOWARD CAPITAL MANAGEMENT, INC.

CRD#: 118070 / SEC#: 801-69763

RIA

Registered Investment Advisory firm - (12/15/2008 Approved)

Georgia

Registered Investment Advisory firm - (1/9/2009 Terminated)

Texas

Registered Investment Advisory firm - (12/15/2008 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1145 Hembree Rd., Roswell, GA 30076

Mailing Address

Phone number

(770) 642-4902

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOWARD CAPITAL MANAGEMENT, INC. ADV BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	14,684
AUM (Assets Under Management)	$ 6,866,502,932

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Alexander Paslay

KESTRA ADVISORY SERVICES, LLC

IAR

Woodstock, GA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kramer K. Shiflett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kramer K Shiflett's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOWARD CAPITAL MANAGEMENT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HOWARD CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2016

SIE

Date: 3/14/2018

Series 7

Date: 9/1/2016

Current Firm

HOWARD CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOWARD CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors