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Shelly Elizabeth Dimiero

CRD# 4163273·Registered 2000 - 2001
Previously Registered: Being a previously registered professional could mean that Shelly 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.

Professional Summary

Shelly Elizabeth Dimiero, who also goes by Shelly Irene Miller, was a registered financial advisor. Shelly was a previously registered financial professional and started their career in finance 2000 - 2001. Shelly had worked at 1 firm and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Shelly Irene Miller

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

TRADECAST SECURITIES, LTD.·CRD# 45501
BD
Houston, TX
July 11, 2000 - June 6, 2001

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Current Firm

TS
TRADECAST SECURITIES, LTD.

AMERITRADE PRO | TRADECAST SECURITIES, LTD.

CRD#: 45501 / SEC#: 8-51059
BD
Terminated by SEC on 05/23/2003

Contact Information

Established

Texas since 11/17/1997

Firm Type

Partnership

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
TRADECAST INVESTMENTS, LTD.LIMITED PARTNER—
FERRUZZO, TERESA ANNEFINOP4418312
MCROBERTS, KAREN LARSONCCO/GENERAL PRINCIPAL2040152
RICKETTS, JOHN PETERPRESIDENT2446207
SALDANA, FLORENCIO IIIDESIGNATED PRINCIPAL2462314

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2000About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 2000About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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