Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
GINGER A SHACKELFORD
GINGER A BRUTON, GINGER ALETHEA BRUTON, GINGER ALETHEA SHACKELFORD, GINGER BRUTON SHACKELFORD
CRD#: 2823625
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 6075 Poplar Ave
Suite 335
Memphis, TN 38119
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 6075 Poplar Ave
Suite 335
MEMPHIS, TN 38119
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2014 (1 year)2 FIRMS2023 - Present (1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2005 - 2012 (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2004 (3 years)BJ.C. BRADFORD & CO. (CRD# 1287)1998 - 2000 (2 years)BVINING-SPARKS IBG, LIMITED PAR... (CRD# 27502)1998 - 1998 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2004 (<1 year)
Disclosure(s)
View By:
1/15/2016
Financial
Final
License(s)

State Registrations

B
Arkansas 1/18/2024
B
Tennessee 12/11/2023
B
Mississippi 1/16/2024
IA
Tennessee 12/11/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
6075 Poplar Ave Suite 335, Memphis, TN 38119
Registered with this firm since 12/11/2023
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
6075 Poplar Ave Suite 335, MEMPHIS, TN 38119
Registered with this firm since 10/2/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/10/2012 - 02/21/2014 DUNCAN-WILLIAMS, INC. (CRD#:6950) MEMPHIS, TN
B
 08/13/2012 - 02/21/2014 DUNCAN-WILLIAMS, INC. (CRD#:6950) MEMPHIS, TN
B
 03/16/2005 - 08/13/2012 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) MEMPHIS, TN
IA
 01/14/2004 - 04/23/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) MEMPHIS, TN
B
 08/14/2000 - 04/23/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 04/03/1998 - 08/14/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
 03/10/1998 - 03/24/1998 VINING-SPARKS IBG, LIMITED PARTNERSHIP (CRD#:27502) MEMPHIS, TN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.