Shelley L. Hatfield
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.
Shelley Lynn Hatfield was a registered financial professional .
Shelley is a previously registered financial professional and started their career in finance in 1992. Shelley had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2008 - February 25, 2016
TD AMERITRADE, INC.
October 3, 2008 - February 25, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 17, 2008 - February 25, 2016
TD AMERITRADE, INC.
February 12, 1998 - March 17, 2006
AVANTAX INVESTMENT SERVICES, INC.
September 6, 1994 - February 25, 1998
FSB PREMIER WEALTH MANAGEMENT, INC.
February 17, 1994 - May 31, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 17, 1994 - May 31, 1994
SIGNATOR INVESTORS, INC.
August 17, 1992 - July 2, 1993
CENTURY INVESTORS OF AMERICA, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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