Shane Maurice Chavez

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2008 → 09/2019
  Fsc Securities Corporation
  Denver, CO
• 08/2008 → 10/2019
  Fsc Securities Corporation
  Denver, CO
• 10/2019 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2019 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2008-09-05 → 2019-10-10
  Fsc Securities Corporation
  Parker, CO
  Milton, GA
• 2006-07-11 → 2008-08-27
  Mml Investors Services, Llc
  Denver, CO

Other Businesses

1)Shane M. Chavez, 11362 Mesa Verde Pl Parker, CO 80138; Began 09/03/2019 as Musician. Non-INV REL Devotes 2 HR/WK; 0 HR/WK during trading 2)Shane M. Chavez Tax Preparation, 11362 Mesa Verde Pl Parker, CO 80138; Began 09/03/2019 as Sole Proprietor. INV REL Devotes 80 HR/YR; 0 HR/WK during trading 3)INDEPENDENT INSURANCE AGENT, 11362 Mesa Verde PL, Parker, CO 80138, 3/96, FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/WK - 1/TRADING. 4)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 5)NETTWORTH FINANCIAL GROUP, 11362 Mesa Verde Place, Parker CO 80138, 10/2019, Marketing Name-three is no ownership role, DBA Name, INV REL, 10 HR/MO, 5 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-27
• S63 Uniform Securities Agent State Law Examination
  1996-05-21

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Shane Maurice Chavez
• Shane Chavez