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WS

William E. Shelton

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CRD#: 421312
WS

Professional summary

William Edward Shelton IV was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, William had worked at 3 firms, which includes VINING-SPARKS IBG LLC, UNION PLANTERS INVESTMENT BANKERS GROUP INC., TOWNES & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Will Shelton

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)

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

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

Past

January 1, 1991 - July 10, 2007

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN
Past

July 27, 1990 - January 1, 1991

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

BD
CRD#: 16493
Past

August 18, 1987 - May 5, 1988

TOWNES & CO., INC.

BD
CRD#: 7034

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 1/15/1986
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/14/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 10/22/1976
Registered Principal Examination

Current Firm

VI
VINING-SPARKS IBG, LLC
VINING SPARKS | VINING-SPARKS INVESTMENT BANKERS GROUP, L. P. | VINING-SPARKS IBG, LLC | VINING-SPARKS IBG, LIMITED PARTNERSHIP

CRD#: 27502 / SEC#: , 8-43150

BD
Terminated by SEC on 11/26/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/27/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STIFEL FINANCIAL CORP.SHAREHOLDER
COLEMAN, KAREN SUEPRINCIPAL FINANCIAL OFFICER1485120
GLADNEY, HAROLD LAMARCHIEF COMPLIANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER1189322
MEDFORD, MARK ANTHONYPRESIDENT/CEO/CHAIRMAN5582726
SHEA, MARTIN FLANAGAN JR.EVP & GENERAL COUNSEL4697655

Disclosures

Regulatory Event8

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.

Company Information

VINING-SPARKS IBG, LLC

CRD#: 27502

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