Jamie H. Shelton
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.
Jamie H Shelton, who also goes by Jamie Henri Shelton, Jamie Shelton, was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 2007. Jamie had worked at 10 firms and has passed the Series 66, Series 63, 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
June 14, 2023 - November 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2023 - November 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 2022 - January 17, 2023
FIDELITY BROKERAGE SERVICES LLC
April 11, 2022 - November 17, 2022
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 8, 2022 - November 17, 2022
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 19, 2021 - March 29, 2022
CUNA BROKERAGE SERVICES, INC.
April 19, 2021 - March 29, 2022
CUNA BROKERAGE SERVICES, INC.
December 3, 2019 - April 6, 2021
CETERA INVESTMENT ADVISERS LLC
November 19, 2019 - April 6, 2021
CETERA INVESTMENT SERVICES LLC
January 22, 2016 - November 25, 2019
EDWARD JONES
January 19, 2016 - November 25, 2019
EDWARD JONES
July 16, 2015 - January 27, 2016
VALIC FINANCIAL ADVISORS, INC.
December 22, 2014 - January 27, 2016
VALIC FINANCIAL ADVISORS, INC.
December 11, 2013 - December 23, 2014
E*TRADE SECURITIES LLC
January 17, 2007 - July 7, 2010
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
