Shelley Elizabeth Herold

CRD 2012021 · Fidelity Brokerage Services LLC · Lakewood, CO

IA RegisteredBroker

Also appears in the source record as: Shelley E Herold; Shelley E Sim; Shelley Elizabeth Sim; Shelley Ew Sim; Shelley E Westbrook

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (51): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (11)

From the source registration record · current first

Strategic Advisers LLCCurrent
Littleton, CO · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Littleton, CO · BD capacity

Dec 10, 2019 → present
Fidelity Brokerage Services LLCCurrent
Lakewood, CO · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Feb 25, 2020 → Mar 31, 2025
Noble Capital Markets, Inc.
BD capacity

Aug 10, 2017 → Nov 25, 2019
Cirrus Research, LLC
BD capacity

Sep 16, 2016 → Aug 10, 2017
First Analysis Securities Corporation
BD capacity

Dec 4, 2007 → Sep 8, 2016
A. G. Edwards & Sons, Inc.
BD capacity

Jul 26, 1999 → Dec 10, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 13, 1990 → Jul 27, 1999
Kemper Securities Group, Inc.
BD capacity

Sep 4, 1990 → Oct 15, 1990
Boettcher & Company, Inc.
BD capacity

Mar 20, 1990 → Sep 4, 1990

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2012021 ↗ FINRA BrokerCheck record for CRD 2012021 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.