Michael W. Shell

SHELL CAPITAL MANAGEMENT

KNOXVILLE, TN 37923

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CRD#: 3226444

Professional summary

Michael Wayne Shell, who also goes by Michael Shell, Mike Shell, is a registered financial advisor currently at SHELL CAPITAL MANAGEMENT, LLC located in Knoxville, Tennessee.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Shell | Mike Shell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Wayne Shell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 22, 2005 - Present

SHELL CAPITAL MANAGEMENT, LLC

Office #1: 200 Prosperity Rd, Knoxville, TN 37923

RIA

CRD#: 136509

KNOXVILLE, TN

Past

March 9, 2004 - January 30, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

KNOXVILLE, TN

Past

August 15, 2003 - January 30, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

KNOXVILLE, TN

Past

October 5, 2001 - September 2, 2003

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

July 7, 1999 - October 8, 2001

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/23/2014)

IAR

Tennessee
(9/22/2005)

IAR

Texas
(10/14/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/5/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/17/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 9

Date: 12/16/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 12/15/2003

General Securities Sales Supervisor - General Module Examination

Current Firm

SHELL CAPITAL MANAGEMENT, LLC

SHELL CAPITAL MANAGEMENT, LLC | SHELLWEALTH MANAGEMENT, LLC | SHELL WEALTH MANAGEMENT, LLC

CRD#: 136509 / SEC#: 801-68878

RIA

Registered Investment Advisory firm - (6/19/2012 Terminated)

Florida

Registered Investment Advisory firm - (5/23/2014 Approved)

Tennessee

Registered Investment Advisory firm - (5/2/2012 Approved)

Texas

Registered Investment Advisory firm - (3/20/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

200 Prosperity Rd, Knoxville, TN 37923

Mailing Address

Phone number

(865) 539-9070

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 23,050,150

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.

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Advisor Monitoring

Firm Stability Insights

Michael W. Shell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Wayne Shell's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2002

Series 63

Date: 7/7/1999

Series 7

Date: 7/5/1999

Series 4

Date: 8/17/2005

Series 9

Date: 12/16/2003

Series 10

Date: 12/15/2003

Current Firm

SHELL CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHELL CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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