Shirley Cleveland
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.
Shirley Cleveland, who also goes by Shirley Wallace, was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 1996. Shirley had worked at 2 firms and has passed the Series 65, Series 66, Series 63 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 31, 2006 - June 27, 2025
BUFFINGTON MOHR MCNEAL
December 2, 2003 - June 15, 2004
CHARLES SCHWAB & CO., INC.
May 15, 1996 - June 15, 2004
CHARLES SCHWAB & CO., 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
BUFFINGTON MOHR MCNEAL
CRD#: 109361 / SEC#: 801-55878
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,738 |
| AUM (Assets Under Management) | $ 1,050,218,121 |
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.
