Shawn D. Kelley
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.
Shawn David Kelley was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1993. Shawn had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 5, 2018 - January 11, 2021
TD AMERITRADE, INC.
March 5, 2018 - January 11, 2021
TD AMERITRADE, INC.
December 9, 2008 - April 13, 2017
CHARLES SCHWAB & CO., INC.
December 8, 2008 - April 13, 2017
CHARLES SCHWAB & CO., INC.
January 18, 2007 - November 11, 2008
HARRISDIRECT LLC
December 20, 2006 - November 11, 2008
E*TRADE SECURITIES LLC
February 25, 2004 - October 23, 2006
BNY MELLON SECURITIES CORPORATION
February 20, 2004 - October 23, 2006
BNY MELLON SECURITIES CORPORATION
March 6, 2003 - February 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 24, 2003 - February 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1995 - December 19, 2002
BNY MELLON SECURITIES CORPORATION
August 25, 1995 - December 19, 2002
BNY MELLON SECURITIES CORPORATION
January 25, 1995 - September 5, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
February 16, 1994 - November 8, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
October 9, 1993 - February 18, 1994
H.J. MEYERS & CO., INC.
June 7, 1993 - June 30, 1993
DOMESTIC CAPITAL INCORPORATED
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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
