David A. Shelley
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.
David Allen Shelley was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 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, 2001 - October 3, 2002
BAIRD MANAGEMENT CORPORATION
October 1, 1999 - October 9, 2001
RBC CAPITAL MARKETS, LLC
November 27, 1996 - October 5, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1993 - December 5, 1996
MORGAN STANLEY DW 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
BAIRD MANAGEMENT CORPORATION
CRD#: 45556 / SEC#: , 8-51096
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
