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SF

Shelley A. Fisher

Some features on this profile are disabled
CRD#: 6071620
SF

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 Ann Fisher was a registered financial professional .

Shelley is a previously registered financial professional and started their career in finance in 2013. Shelley had worked at 4 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 12, 2016 - September 30, 2016

CAPITAL CITY SECURITIES, LLC

BD
CRD#: 146001
POWELL, OH
Past

January 7, 2016 - September 30, 2016

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

RIA
CRD#: 134008
Beavercreek, OH
Past

May 22, 2014 - January 11, 2016

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
BEAVERCREEK, OH
Past

May 13, 2014 - January 11, 2016

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BEAVERCREEK, OH
Past

September 30, 2013 - May 14, 2014

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
DAYTON, OH
Past

August 12, 2013 - May 14, 2014

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 9/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/12/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CAPITAL CITY SECURITIES, LLC
CAPITAL CITY SECURITIES, LLC

CRD#: 146001 / SEC#: , 8-67771

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
3789 Attucks Dr, Powell, OH 43065
Mailing Address
3789 Attucks Dr, Powell, OH 43065
Phone number
(614) 485-0803
Established
Ohio since 02/01/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPITAL CITY PARTNERS, INC.OWNER/MANAGING MEMBER
CRAWFORD, TODD EDWARDCCO1951009
CRAWFORD, TODD EDWARDPRESIDENT1951009
ROLAND, JAMES MERVINV. P. COMPLIANCE AND OPERATIONS1871181
ROLAND, JAMES MERVINOPTIONS PRINCIPAL1871181
TOMASELLO, JAC GERARDMP1749835
TOMASELLO, JAC GERARDGENERAL PRINCIPAL1749835
TOMASELLO, JAC GERARDFIN OP1749835

Disclosures

Regulatory Event3
Arbitration1

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

CAPITAL CITY SECURITIES, LLC

CRD#: 146001

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