Richard M. 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.
Richard Michael Shelton was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 7 firms and has passed the Series 63, Series 55 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
August 3, 2009 - April 29, 2013
KOYOTE TRADING LLC
October 24, 2007 - October 8, 2009
SCHOTTENFELD GROUP LLC
June 1, 2004 - November 17, 2005
NOMURA SECURITIES INTERNATIONAL, INC.
September 25, 2003 - May 26, 2004
PUGLISI & CO.
April 11, 1994 - March 23, 1995
JPMSI
November 3, 1988 - February 18, 1994
MORGAN STANLEY & CO. LLC
September 17, 1987 - February 18, 1994
MORGAN STANLEY MARKET PRODUCTS 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
Series 55
Date: 11/7/2007
Limited Representative-Equity Trader ExamCurrent Firm
KOYOTE TRADING LLC
CRD#: 149672 / SEC#: , 8-68182
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOYOTE CAPITAL GROUP LLC | OWNER | |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| RISI, SALVATORE ANTHONY | CFO/FINOP | 1072513 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER | 1280443 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
Red Flags
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