Thaddeus R. Shelly
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.
Thaddeus Rubel Shelly, who also goes by Thaddeus R Shelly III, Thaddeus Rubel Shelly, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1984. Thaddeus had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2009 - February 5, 2013
LAZARD ASSET MANAGEMENT SECURITIES LLC
June 9, 1998 - April 8, 2009
BESSEMER INVESTOR SERVICES, INC.
July 15, 1992 - February 13, 1998
LEGG MASON WOOD WALKER, INCORPORATED
November 21, 1984 - June 23, 1992
GOLDMAN SACHS & CO. LLC
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
Series 5
Date: 1/9/1985
Interest Rate Options ExaminationSeries 8
Date: 3/9/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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