Kenneth Joseph Shahbaz

Employer firm

Holderness Investments Co CRD 106530

$661M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

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

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

Current Employers

Employment History

• 10/1997 → Present
  Shahbaz Carothers & Co Pa
  Greensboro, NC
• 04/2016 → 02/2017
  Kestra Financial Services, Inc,
  Austin, TX
• 01/2017 → Present
  Holderness Investments Co
  Greensboro, NC
• 02/2017 → 10/2025
  Intercarolina Financial Services
  Greensboro, NC

Previous Registrations

• 2016-04-19 → 2017-01-27
  Kestra Advisory Services, Llc
  Greensboro, NC
• 2005-11-17 → 2016-09-22
  Kestra Investment Services, Llc
  Greensboro, NC
  Greensboro, NC

Other Businesses

Business Name: Shahbaz Carothers & Company, PA Investment Related: No Address: 2102 N. Elm Street, Suite C Greensboro NC 27408 Nature of Business: Tax/Accounting Position, Title or Relationship: Owner Start Date: 10/1/2000 Hours per month: 50% (80 hours) Hours per month during trading hours: 40% (25 hours) Duties: Manager of the business on a daily basis. Business Name: Holderness Asset Solutions, LLC Investment Related: No Address: 2102 N. Elm Street, Suite C Greensboro NC 27408 Nature of Business: Insurance services Position, Title or Relationship: Insurance Agent Start Date: 01/25/2017 Hours per month: 10% (or 16 hours) Hours per month during trading hours: 10% (16 hours) Duties: Works with clients through this company offering insurance services Business Name: Old North State Council, Scouting America Investment Related: Yes Address: 1405 Westover Terrace, Greensboro, NC 27408 Nature of Business: Local Council of Boy Scouts of America Position: Board Member, Chairman of Audit Committee, and member of Foundation Advisory Board Start Date: July 2010 Hours: 2 hours per month (none during securities trading hours). Duties: Board Member - Attend quarterly Board meetings and vote on issues related to management of the program, budget and financial matters, and general matters; Audit Committee Member - Attend quarterly meetings, select outside firm to conduct audit, and assist with the same as needed; Foundation Advisory Board Member - Attend periodic meetings, select outside manager to manage assets, and review the performance of the outside manager. Business Name: FNZ, Inc. Address: 2102 N. Elm Street, Suite A, Greensboro, NC 27408 Nature of Business: Private Foundation Investment-Related: Yes. Position: Director. Start Date: April 2020 Hours: 2 hours per month, including during securities trading hours. Duties: Attend periodic meetings and assist with general matters, operations matters, and tax-related matters.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-27
• S63 Uniform Securities Agent State Law Examination
  1999-05-14

Designations

• Certified Financial Planner
• Personal Financial Specialist