Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KEVIN F SHAW
CRD#: 4893761
IA
Investment Adviser
B
Broker
CITIZENS SECURITIES, INC.CRD#: 39550 1401 I Street N.W., SUITE 110
MS: DC019
WASHINGTON, DC 20005
Registration History
200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2008 - 2024 (16 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2007 (2 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2020 - 2024 (4 years)
License(s)

State Registrations

B
District of Columbia 10/8/2024
B
Maryland 10/8/2024
IA
District of Columbia 11/5/2024
IA
Maryland 10/8/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITIZENS SECURITIES, INC. (CRD#:39550)
1401 I Street N.W., SUITE 110 MS: DC019, WASHINGTON, DC 20005
Registered with this firm since 10/8/2024
B
CITIZENS SECURITIES, INC. (CRD#:39550)
1401 I Street N.W., SUITE 110 MS: DC019, WASHINGTON, DC 20005
Registered with this firm since 10/8/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2020 - 10/09/2024 HSBC SECURITIES (USA) INC. (CRD#:19585) MIAMI, FL
B
 01/15/2008 - 10/09/2024 HSBC SECURITIES (USA) INC. (CRD#:19585) MIAMI, FL
B
 01/10/2005 - 09/17/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.