Shelly H. Baker

WADDELL & ASSOCIATES

Memphis, TN 38117

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CRD#: 2196517

Professional summary

Shelly Halford Baker, CFP®, who also goes by Shelly Marie Alford N/a, Shelly Marie Halford, is a registered financial advisor currently at WADDELL & ASSOCIATES, LLC located in Memphis, Tennessee.

Shelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Shelly has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shelly Marie Alford N/a | Shelly Marie Halford

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) - RIA

Click below to view Shelly Halford Baker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

July 26, 2022 - Present

WADDELL & ASSOCIATES, LLC

Office #1: 5188 Wheelis Drive, Memphis, TN 38117

RIA

CRD#: 283723

Memphis, TN

Past

July 12, 2021 - March 31, 2022

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

Memphis, TN

Past

July 12, 2021 - March 31, 2022

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Memphis, TN

Past

July 1, 2019 - March 12, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

GERMANTOWN, TN

Past

June 13, 2019 - March 3, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GERMANTOWN, TN

Past

July 26, 2016 - August 28, 2017

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MEMPHIS, TN

Past

July 26, 2016 - August 28, 2017

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MEMPHIS, TN

Past

November 24, 2014 - July 29, 2016

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

MEMPHIS, TN

Past

October 6, 2014 - July 29, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

MEMPHIS, TN

Past

October 9, 2009 - September 5, 2014

LEGACY WEALTH MANAGEMENT INC

RIA

CRD#: 108619

MEMPHIS, TN

Past

February 16, 2005 - January 13, 2009

WADDELL & ASSOCIATES INC

RIA

CRD#: 105746

MEMPHIS, TN

Past

March 23, 2004 - June 18, 2004

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

December 7, 1992 - July 8, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WADDELL & ASSOCIATES, LLC

CRD#: 283723 / SEC#: 801-107784

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(7/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/15/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/22/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/2/1992

General Securities Representative Examination

Current Firm

WADDELL & ASSOCIATES, LLC

CRD#: 283723 / SEC#: 801-107784

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

5188 Wheelis Drive, Memphis, TN 38117

Mailing Address

Phone number

(901) 767-9187

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WADDELL ASSOCIATES LLC ADV PART 2A OCT 2025 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	2,791
AUM (Assets Under Management)	$ 1,701,742,264

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.

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Advisor Monitoring

Firm Stability Insights

Shelly H. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelly Halford Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

LEGACY WEALTH MANAGEMENT INC

WADDELL & ASSOCIATES INC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

WADDELL & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/15/2015

Series 66

Date: 2/15/2005

SIE

Date: 8/28/2017

Series 55

Date: 7/22/1999

Series 7

Date: 12/2/1992

Current Firm

WADDELL & ASSOCIATES, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WADDELL & ASSOCIATES, LLC

TRUST BUT VERIFY

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