Barbara S. Shellman
STIFEL, NICOLAUS & COMPANY | Financial Advisor
TRAVERSE CITY, MI 49684
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CRD#: 6240742
Barbara Sue ShellmanSTIFEL, NICOLAUS & COMPANY
Professional summary
Barbara Sue Shellman, who also goes by Barbara Shellman Groseclose, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Traverse City, Michigan.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Barbara has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Barbara Shellman Groseclose
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.
1. SCORE Traverse City; 202 E Grandview Parkway Suite 201 Traverse City MI 49684; volunteer organization that offers mentoring services to local business owners; I am the chair of the marketing committee; I create and manage the marketing plan for the chapter which includes collaborating with our marketing partners and SCORE's headquarters as well. I also sit on the chapter's executive committee; 09/02/2013; 20.00hrs/month; During securities trading hours; Not Investment-Related 2. Impact 100 Traverse city; 526 w 14th st traverse city, MI 49684; supporting non-profits in our area through collective giving; volunteer on the arts and culture committee; participate on the arts and culture committee by reading grants, attending site visits and helping to determine if the grants should be brought to the entire organization for a vote; 04/28/2025; 15hrs/yr; During securities trading hours; Not investment related 3. Salvation Army; 1239 Barlow Traverse City, MI 49686; serves the needs of the homeless, disadvantaged and low income individuals in our area; Advisory Board member; attend monthly meetings, be a liaison roll between the organization and the community, instrumental in developing goals and a strategic plan of action to achieve the goals; 05/01/2026; 5 hours/month; During securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Sue Shellman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Sue Shellman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 18, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 202 East State Street Suite 300, Traverse City, MI 49684RIA
BD
CRD#: 793
TRAVERSE CITY, MI
Current
December 18, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 202 East State Street Suite 300, Traverse City, MI 49684RIA
BD
CRD#: 793
TRAVERSE CITY, MI
Past
December 2, 2020 - December 22, 2023
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
TRAVERSE CITY, MI
Past
December 2, 2020 - December 22, 2023
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
TRAVERSE CITY, MI
Past
June 19, 2018 - September 16, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
TRAVERSE CITY, MI
Past
April 18, 2018 - September 16, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
TRAVERSE CITY, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/18/2023)
RR
California(12/18/2023)
RR
Colorado(12/18/2023)
RR
Florida(12/18/2023)
RR
Georgia(7/10/2024)
RR
Illinois(12/18/2023)
RR
Indiana(12/18/2023)
RR
Kentucky(2/6/2024)
RR
Maryland(1/8/2024)
RR
Michigan(12/18/2023)
IAR
Michigan(12/18/2023)
RR
Minnesota(12/18/2023)
RR
North Carolina(1/2/2024)
RR
Ohio(12/18/2023)
RR
Oregon(12/18/2023)
RR
Pennsylvania(12/18/2023)
RR
South Carolina(12/18/2023)
RR
Texas(12/18/2023)
IAR
Texas(12/18/2023)
RR
Virginia(12/18/2023)
RR
Wisconsin(12/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Financial AdvisorCRD#: 793Traverse City, MI 49684TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
