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Detailed Report
KEVIN JOSEPH SHAMY
KEVIN SHAMY
CRD#: 5531677
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 1700 Market Street
23rd Floor
Philadelphia, PA 19103
Registration History
2008201020122014201620182020202220242026IAADVICE AND PLANNING SERVICES (CRD# 20472)2011 - Present (13 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2008 - Present (16 years)
License(s)

State Registrations

B
Arizona 4/10/2014
B
Massachusetts 7/3/2018
B
California 10/9/2017
B
Michigan 11/11/2021
B
Connecticut 7/31/2015
B
New Hampshire 3/17/2022
B
Delaware 7/11/2008
B
New Jersey 7/11/2008
B
District of Columbia 3/7/2022
B
New York 7/11/2008
B
Florida 1/15/2020
B
North Carolina 5/5/2022
B
Georgia 1/14/2022
B
Pennsylvania 7/11/2008
B
Indiana 1/30/2023
IA
Pennsylvania 10/17/2011
B
Kentucky 9/15/2015
B
Virginia 2/23/2017

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
1700 Market Street 23rd Floor, Philadelphia, PA 19103
Philadelphia, PA
Registered with this firm since 10/17/2011
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
1700 Market Street 23rd Floor, Philadelphia, PA 19103
Philadelphia, PA
Registered with this firm since 6/18/2008
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.