Steven Shields, financial advisor Mission Viejo CA
96 score

Steven Shields

CRD Number: 5501026
Current Firm: J.p. Morgan Securities LLC

Steven Shields (CRD# 5501026) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Mission Viejo, CA and has over 8 years of experience in the finance industry. Steven 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.

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Professional Designations
Company Name Location Dates Years
J.p. Morgan Securities LLC Mission Viejo, CA Oct 2012 - Current 4
Chase Investment Services Corp. Mission Viejo, CA Jun 2010 - Oct 2012 2
Pinpoint Marketing Lakewood, CA Jan 2010 - Dec 2010 < 1
Ameriprise Financial Services, Inc. Long Beach, CA Aug 2008 - Jun 2010 1
Ameriprise Financial Services Long Beach, CA Mar 2008 - Aug 2008 < 1
Cox Target Media &quot;valpak&quot; Cerritos, CA Jun 2006 - Mar 2008 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2008
Contact Info for Steven D. Shields
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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