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Detailed Report
TODD WILLIAM SHAND
CRD#: 3189361
IA
Investment Adviser
B
Previous Broker
TRADEWINDS, LLCCRD#: 316415 4600 MARRIOTT DR.
SUITE 200
RALEIGH, NC 27612
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (2 years)2 FIRMS2008 - 2024 (16 years)IATRADEWINDS, LLC (CRD# 316415)2024 - Present (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2005 (5 years)IAMORGAN STANLEY (CRD# 7556)2001 - 2005 (4 years)
License(s)

State Registrations

IA
North Carolina 5/16/2024
Current Registration(s)
IA
TRADEWINDS, LLC (CRD#:316415)
4600 MARRIOTT DR. SUITE 200, RALEIGH, NC 27612
Registered with this firm since 5/16/2024
Previous Registration(s)
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IA
 01/01/2008 - 06/17/2024 WELLS FARGO ADVISORS (CRD#:19616) RALEIGH, NC
B
 01/01/2008 - 06/17/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) RALEIGH, NC
B
 12/02/2005 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) RALEIGH, NC
IA
 12/02/2005 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) RALEIGH, NC
IA
 12/31/2001 - 12/05/2005 MORGAN STANLEY (CRD#:7556) RALEIGH, NC
B
 07/27/2000 - 12/05/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.