Herman Shields, financial advisor Chesterfield MO
86 score

Herman Shields

CRD Number: 1263890
Current Firm: Principal Securities, Inc.

Herman Shields (CRD# 1263890) is an Investment Advisor Representative working at Principal Securities, Inc. in Chesterfield, MO and has over 31 years of experience in the finance industry. Herman Shields has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Similar Advisors
Carl Goodin, financial advisor Chesterfield MO
Carl D. Goodin
CRD# 1346311
Financial Planning Associates, Inc.
Score
107
Similar Advisors
William Meyer, financial advisor Chesterfield MO
William L. Meyer
CRD# 1018380
Cutter & Company, Inc.
Score
106
Similar Advisors
Joe Allaria, financial advisor Chesterfield MO
Joe M. Allaria
CRD# 6122862
Visionary Wealth Advisors, LLC
Score
105
Professional Designations
Company Name Location Dates Years
Christian Financial Services Chesterfield, MO Jan 2001 - Current 15
Principal Life Insurance Comp Chesterfield, MO Jul 1998 - Current 18
Princor Financial Services Corporation Chesterfield, MO Nov 1985 - Current 31
Bankers Life Co Des Moines, IA Sep 1985 - Current 31
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1985
S65 NASAA Investment Advisors Law Examination Feb 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Herman F. Shields
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • MO
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
86

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.