David S. Shelton
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.
David Stanley Shelton, who also goes by David S Shelton, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1984. David had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2006 - March 13, 2008
ANDERSON & STRUDWICK, INCORPORATED
August 23, 2005 - March 13, 2008
ANDERSON & STRUDWICK, INCORPORATED
April 14, 2005 - September 22, 2005
J.J.B. HILLIARD, W.L. LYONS, LLC
April 24, 1991 - September 22, 2005
J.J.B. HILLIARD, W.L. LYONS, LLC
February 11, 1987 - April 12, 1991
MORGAN KEEGAN & COMPANY, LLC
August 21, 1984 - February 27, 1987
MORGAN STANLEY DW INC.
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
ANDERSON & STRUDWICK, INCORPORATED
CRD#: 48 / SEC#: , 8-18206
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 2 |
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.
