Shelby H. Mcginley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shelby Hicks Mcginley, who also goes by Shelby Lynn Hicks, Shelby H Mcginley, Shelby Hicks Penn, was a registered financial professional .
Shelby is a previously registered financial professional and started their career in finance in 1984. Shelby had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2016 - September 10, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 21, 2016 - September 10, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 13, 2004 - October 24, 2016
EDWARD JONES
May 21, 2004 - October 24, 2016
EDWARD JONES
September 18, 2000 - May 25, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1999 - May 25, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1988 - October 29, 1988
IDS LIFE INSURANCE COMPANY
August 26, 1988 - October 29, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 1984 - August 30, 1988
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
