SC
Shawn J. Corkery
KESTRA ADVISORY SERVICES
Newbury Park, CA 91320
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CRD#: 7440178
SC
Professional summary
Shawn Joseph Corkery is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Newbury Park, California and KESTRA INVESTMENT SERVICES, LLC located in Newbury Park, California.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Shawn has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Name: FINANCIAL POINTE POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2023 ADDRESS: 4361 NE Cloverdale St, Moorpark CA 93021 DESCRIPTION: RR Name: GENESIS TRAINING POSITION: Owner NATURE: Health Coaching/ Training INVESTMENT RELATED: No # OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2023 ADDRESS: 4361 NE Cloverdale St, Moorpark CA 93021 DESCRIPTION: Health Coaching/ Training Name: RETIREMENT PLANNING TODAY AND WHITE GLOVE POSITION: Educator NATURE: Education INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2023 ADDRESS: 3323 Old Conejo Rd., Newbury Park CA 91320, United States DESCRIPTION: Teach retirement planning classes. We get a powerpoint presentation that is approved by the BD. We teach what is essentially an Investments 101 class to pre-retirees and retirees. No products are mentioned, just education. Name: RETIREMENT PLANNING TODAY, WHITE GLOVE AND RETIREMENT MASTERCLASS POSITION: Educator NATURE: Education INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2023 ADDRESS: 3323 Old Conejo Rd., Newbury Park CA 91320, United States DESCRIPTION: Teach retirement planning classes. We get a powerpoint presentation that is approved by the BD. We teach what is essentially an Investments 101 class to pre-retirees and retirees. No products are mentioned, just education.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Joseph Corkery'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
October 3, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3323 Old Conejo Road, Newbury Park, CA 91320RIA
CRD#: 283330
Newbury Park, CA
Current
October 3, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3323 Old Conejo Rd, Newbury Park, CA 91320BD
CRD#: 42046
Newbury Park, CA
Past
September 1, 2023 - October 8, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
NEWBURY PARK, CA
Past
September 1, 2023 - October 8, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
NEWBURY PARK, CA
Past
January 24, 2022 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
NEWBURY PARK, CA
Past
December 21, 2021 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
NEWBURY PARK, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Arizona(10/3/2023)
RR
California(10/3/2023)
IAR
California(10/4/2023)
RR
Colorado(10/3/2023)
RR
Connecticut(10/3/2023)
RR
Florida(10/3/2023)
RR
Georgia(10/3/2023)
RR
Hawaii(10/3/2023)
RR
Idaho(10/3/2023)
RR
Illinois(10/3/2023)
RR
Indiana(10/3/2023)
RR
Maryland(10/3/2023)
RR
Massachusetts(10/3/2023)
RR
Michigan(10/3/2023)
RR
Minnesota(10/3/2023)
RR
Montana(10/3/2023)
RR
Nevada(10/3/2023)
RR
New Hampshire(10/3/2023)
RR
New Jersey(10/3/2023)
RR
New Mexico(10/3/2023)
RR
New York(10/3/2023)
RR
North Carolina(10/4/2023)
RR
Oregon(10/3/2023)
RR
Tennessee(10/3/2023)
RR
Texas(10/3/2023)
IAR
Texas(10/3/2023)
RR
Utah(10/3/2023)
RR
Virginia(10/3/2023)
RR
Washington(10/3/2023)
RR
West Virginia(10/3/2023)
RR
Wyoming(10/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Newbury Park, CA 91320TRUST BUT VERIFY
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