Thomas H. Shelley
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.
Thomas H Shelley, who also goes by Tom Shelley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 5 firms and has passed the 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
January 3, 1995 - May 17, 2005
FOX & COMPANY INVESTMENTS INC.
June 5, 1992 - September 7, 1994
CHARLES SCHWAB & CO., INC.
February 13, 1991 - October 23, 1991
TITAN/VALUE EQUITIES GROUP, INC.
March 13, 1990 - January 29, 1991
WESTAMERICA INVESTMENT GROUP
July 22, 1987 - March 5, 1990
RL KOTROZO, 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
FOX & COMPANY INVESTMENTS INC.
CRD#: 18517 / SEC#: , 8-37061
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
