Michael K. Shaw

FORTUNE FINANCIAL SERVICES

Glendora, CA 91741

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CRD#: 853797

Professional summary

Michael Kevin Shaw is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Glendora, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1978. Michael has worked at 8 firms and has passed the Series 6TO, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Michael Kevin Shaw'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

February 14, 2018 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 303n Glendora Avenue #a, Glendora, CA 91741

CRD#: 42150

Glendora, CA

Past

November 1, 2017 - December 31, 2017

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GLENDORA, CA

Past

September 18, 2003 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

GLENDORA, CA

Past

December 16, 1997 - July 21, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

GLENDORA, CA

Past

March 16, 1988 - July 21, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

June 18, 1982 - February 27, 1988

AMERICAN PACIFIC SECURITIES CORPORATION

CRD#: 5003

Past

June 26, 1978 - June 15, 1982

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 26, 1978 - June 15, 1982

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

June 26, 1978 - June 15, 1982

IDS LIFE INSURANCE COMPANY

CRD#: 6321

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(7/19/2018)

Exams

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/12/1978

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

3582 Brodhead Road Suite 202, Monaca, PA 15061

Mailing Address

P.o. Box 238, Monaca, PA 15061

Phone number

(724) 846-2488

Established

Pennsylvania since 10/21/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DANIELS, BLAKE WILLIAM	CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO	1285106
DANIELS, BRIAN LEE	OWNER	1213561
BENTLEY, GREGORY JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	705379
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEE	CHIEF OPERATIONS OFFICER, FINOP, PFO, POO	4794021

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael K. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Kevin Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

AMERICAN PACIFIC SECURITIES CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1983

Series 1

Date: 6/12/1978

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FORTUNE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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