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Inactive

Todd William Shand

Tradewinds, LLC

Raleigh, NC

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Current Employers
Tradewinds, Llc

4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-05-16
  • NC RA
    APPROVED
    Since 2024-05-16

Branch Locations

4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • 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
Wells Fargo Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 05/2024
Tradewinds Llc Raleigh NC 05/2024 Present
Previous Registrations
  • 2008-01-01 → 2024-06-17
    Wells Fargo Clearing Services, Llc
    Raleigh, NC
    Raleigh, NC
  • 2005-12-02 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    St. Louis, MO
    Raleigh, NC
  • 2001-12-31 → 2005-12-05
    Morgan Stanley Dw Inc.
    Raleigh, NC
Other Businesses

SHAND WEALTH MANAGEMENT LLC, INV RELATED, CARY, NC, 100% OWNERSHIP, START 12/19/2023, 200 HOURS PER MONTH, 130 HOURS DURING TRADING, RIA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-29
  • S66 Uniform Combined State Law Examination
    2000-08-29

View on SEC IAPD

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
ADVISORY SERVICES NETWORK
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

More in Raleigh, NC

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