Shelley E. Herold
Professional summary
Shelley Elizabeth Herold, who also goes by Shelley E Herold, Shelley E Sim, Shelley Elizabeth Sim, Shelley Ew Sim, Shelley E Westbrook, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Littleton, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Lakewood, Colorado.
Shelley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Shelley has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shelley Elizabeth Herold's CRS (Customer Relationship Summary).
Certified licenses
Education
University of Denver (Daniels College of Business)
Master of Business Administration (MBA) - Business
1997
Babson College
Bachelor of Science (BS) - Business Administration & Management
1989
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 343 S Teller St, Lakewood, CO 80226December 10, 2019 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 343 S Teller St, Lakewood, CO 80226February 25, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 10, 2017 - November 25, 2019
NOBLE CAPITAL MARKETS, INC.
September 16, 2016 - August 10, 2017
CIRRUS RESEARCH, LLC
December 4, 2007 - September 8, 2016
FIRST ANALYSIS SECURITIES CORPORATION
July 26, 1999 - December 10, 2007
A. G. EDWARDS & SONS, INC.
November 13, 1990 - July 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 1990 - October 15, 1990
WELLS FARGO CLEARING SERVICES, LLC
March 20, 1990 - September 4, 1990
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2023)
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(1/27/2020)
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(12/10/2019)
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Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
