Todd Shand has been an investment adviser representative at Tradewinds since May 2024, and is not listed among the firm’s executive officers or direct owners.
Tradewinds, LLC is a Raleigh, NC firm with $659M under management, 505 clients and 9 advisers in one office, as of its March 2026 filing.
Todd Shand’s longest registration was 16 years at Wells Fargo Advisors (2008–2024). Before joining Tradewinds in 2024, Todd Shand was registered through Wells Fargo Advisors and A. G. Edwards & Sons, Inc.
- Wells Fargo Advisors– · 16 yearsRaleigh, NC · Adviser representative · Firm CRD 19616
- A. G. Edwards & Sons, Inc.– · 2 yearsRaleigh, NC · Adviser representative · Firm CRD 4
- Morgan Stanley– · 3 yearsRaleigh, NC · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Todd Shand is registered as an investment adviser representative in North Carolina, since May 2024.
- North CarolinaSince 16 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 9 July 2004 |
| Series 66 | Uniform Combined State Law Examination | 29 August 2000 |
| Series 7 | General Securities Representative Examination | 26 July 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Todd William Shand
- CRD
- 3189361
- Firm
- Tradewinds · CRD 316415
- Office
- 4600 MARRIOTT DR., SUITE 200, Raleigh, NC 27612
- Registration
- Investment adviser registration
- In the industry since
- July 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Todd Shand work?
Todd Shand is an investment adviser representative registered through Tradewinds, LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Todd Shand a financial advisor?
Yes. Todd Shand has a current investment-adviser registration in North Carolina, through Tradewinds since May 2024.
How many years of experience does Todd Shand have?
Todd Shand has 26 years in the financial industry, since July 2000, across 4 adviser firms.
What exams has Todd Shand passed?
Todd Shand has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in July 2000. FINRA credited Todd Shand with the SIE, which began in October 2018.
Where did Todd Shand work before Tradewinds?
Before Tradewinds, Todd Shand was registered through A. G. Edwards & Sons, Inc., December 2005 to January 2008; Morgan Stanley, December 2001 to December 2005.
Where is Todd Shand based?
Todd Shand’s registered office is in Raleigh, NC.
Is Todd Shand registered with FINRA?
No. Todd Shand has no current broker registration.
How can I verify Todd Shand’s record?
Search CRD 3189361 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Todd Shand’s full registration record.
