Austin N. Card

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CRD#: 6281691

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.

Austin Nichols Card was a registered financial professional .

Austin is a previously registered financial professional and started their career in finance in 2014. Austin had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

June 28, 2018 - August 21, 2018

SHELTON CAPITAL MANAGEMENT

RIA

CRD#: 104720

DENVER, CO

Past

May 17, 2018 - August 21, 2018

RFS PARTNERS

CRD#: 18119

Denver, CO

Past

December 4, 2017 - March 9, 2018

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

CHICAGO, IL

Past

July 6, 2017 - December 31, 2017

PT ASSET MANAGEMENT, LLC

RIA

CRD#: 107619

CHICAGO, IL

Past

July 6, 2017 - December 5, 2017

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

CRD#: 36155

CHICAGO, IL

Past

December 15, 2015 - January 30, 2017

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

CRD#: 157625

CHICAGO, IL

Past

October 2, 2015 - December 1, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

October 2, 2015 - December 1, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

April 10, 2015 - August 20, 2015

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

November 10, 2014 - August 20, 2015

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

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".

SHELTON CAPITAL MANAGEMENT

CRD#: 104720 / SEC#: 801-25205

RIA

Registered Investment Advisory firm - (9/12/1985 Approved)

Louisiana

Registered Investment Advisory firm - (4/4/2024 Terminated)

Maryland

Registered Investment Advisory firm - (4/11/2024 Terminated)

Ohio

Registered Investment Advisory firm - (4/2/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2014

General Securities Representative Examination

Current Firm

SHELTON CAPITAL MANAGEMENT

CRD#: 104720 / SEC#: 801-25205

RIA

Registered Investment Advisory firm - (9/12/1985 Approved)

Louisiana

Registered Investment Advisory firm - (4/4/2024 Terminated)

Maryland

Registered Investment Advisory firm - (4/11/2024 Terminated)

Ohio

Registered Investment Advisory firm - (4/2/2024 Terminated)

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Contact information

Main Address

1125 17th Street Suite 2550, Denver, CO 80202

Mailing Address

P.o. Box 87, Denver, CO 80201-0087

Phone number

(800) 955-9988

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 NOV 3, 2025 (11/3/2025)

Regulatory assets under management

Total Number of Accounts	1,216
AUM (Assets Under Management)	$ 5,158,388,062

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.

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Advisor Monitoring

Firm Stability Insights

Austin N. Card

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RFS PARTNERS

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

PT ASSET MANAGEMENT, LLC

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

SHELTON CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2015

SIE

Date: 8/21/2018

Series 7

Date: 11/10/2014

Current Firm

SHELTON CAPITAL MANAGEMENT

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHELTON CAPITAL MANAGEMENT

TRUST BUT VERIFY

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