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Tracy Christine Shelton

Stifel, Nicolaus & Company, Incorporated

Dallas, TX

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-05-05
  • TX RA
    APPROVED
    Since 2022-05-05

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas TX 10/2009 05/2022
Stifel Nicolaus & Co Inc Dallas TX 05/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-24
S63 Uniform Securities Agent State Law Examination 1998-04-21
  • S65 Uniform Investment Adviser Law Examination
    2020-02-24
  • S63 Uniform Securities Agent State Law Examination
    1998-04-21

View on SEC IAPD

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