Shelley R. King
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.
Shelley Romaine King, who also goes by Shelley King, was a registered financial professional .
Shelley is a previously registered financial professional and started their career in finance in 2002. Shelley had worked at 6 firms and has passed the Series 66, SIE, Series 7 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
September 19, 2017 - July 6, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 31, 2017 - July 6, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 21, 2016 - July 10, 2017
SECURITIES AMERICA ADVISORS, INC.
October 21, 2016 - July 10, 2017
SECURITIES AMERICA, INC.
December 2, 2003 - November 3, 2016
WADDELL & REED
December 2, 2003 - November 3, 2016
WADDELL & REED
September 12, 2002 - November 18, 2003
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
