Steven ShieldsCRD 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.
Dorman Skorheim Wealth Management LLC
Rs Crum Inc.
Rs Crum Inc.
|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 "valpak"||Cerritos, CA||Jun 2006 - Mar 2008||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2008|
Total Assets Under Management70,743MILLIONS
Total Number of Accounts344,720ACCOUNTS
Average Account Value$205,219
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- 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)
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