Lenore 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.
Lenore Anita Shelley, who also goes by Lenny Shelley, was a registered financial professional .
Lenore is a previously registered financial professional and started their career in finance in 1999. Lenore had worked at 4 firms and has passed the Series 63 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
May 18, 2001 - April 15, 2011
LIGHTHOUSE CAPITAL CORPORATION
September 26, 2000 - October 17, 2000
DONAHUE SECURITIES, INC.
December 21, 1999 - October 3, 2000
SUMMIT BROKERAGE SERVICES, INC.
March 4, 1999 - December 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
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
LIGHTHOUSE CAPITAL CORPORATION
CRD#: 41812 / SEC#: , 8-49576
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
