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Sheldon R. Stoughton

Some features on this profile are disabled
CRD#: 1946520
SS

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.

Sheldon Ratcliffe Stoughton was a registered financial professional .

Sheldon is a previously registered financial professional and started their career in finance in 1989. Sheldon had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 31, 2015 - November 11, 2025

ACQUEST SECURITIES LLC

BD
CRD#: 29047
HOUSTON, TX
Past

November 30, 2010 - August 10, 2015

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

BD
CRD#: 130847
HOUSTON, TX
Past

April 3, 2009 - February 8, 2010

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
HOUSTON, TX
Past

February 2, 2005 - April 3, 2009

ABN AMRO INCORPORATED

BD
CRD#: 15776
HOUSTON, TX
Past

November 3, 2000 - February 14, 2001

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

June 29, 1998 - January 12, 2000

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 13, 1998 - February 14, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

September 22, 1997 - February 18, 1998

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

June 3, 1996 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

November 10, 1994 - June 3, 1996

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

July 27, 1994 - September 6, 1994

DB ALEX. BROWN LLC

BD
CRD#: 17790
Past

June 20, 1989 - September 6, 1994

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/2009
General Securities Principal Examination

Current Firm

AS
ACQUEST SECURITIES LLC
ACQUEST ADVISORS L.L.C. | SCHNITZIUS & VAUGHAN, LLC | SCHNITZIUS & VAUGHAN | ACQUEST SECURITIES LLC | ACQUEST SECURITIES L.L.C.

CRD#: 29047 / SEC#: , 8-44071

BD
Pending Withdrawal by SEC on 12/16/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/31/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOUGHTON, SHELDON RATCLIFFEOWNER/MEMBER/PRINCIPAL/CCO/POO/PFO1946520

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.

Company Information

ACQUEST SECURITIES LLC

CRD#: 29047

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