Richard K. Shields
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Kelly Shields, CFP®, who also goes by Dick Shields, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
May 5, 2023 - April 10, 2024
LPL FINANCIAL LLC
May 5, 2023 - April 10, 2024
LPL FINANCIAL LLC
August 21, 2012 - May 4, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 1, 2010 - August 23, 2012
DEWAAY FINANCIAL NETWORK, LLC
May 27, 2010 - August 11, 2023
SYNERGY FINANCIAL GROUP OF ARIZONA, LLC
May 3, 2005 - October 8, 2010
MERIDIAN UNITED CAPITAL, LLC
February 10, 2005 - June 8, 2011
THE PLANNING GROUP
February 18, 2004 - February 23, 2005
HSL FINANCIAL GROUP
February 11, 2004 - April 19, 2005
THE LEADERS GROUP, INC.
March 9, 2002 - February 20, 2004
RBC CAPITAL MARKETS, LLC
March 9, 2002 - February 20, 2004
RBC CAPITAL MARKETS, LLC
March 9, 1998 - March 9, 2002
SUTRO & CO. INCORPORATED
April 25, 1994 - March 10, 1998
UBS FINANCIAL SERVICES INC.
January 22, 1982 - April 6, 1994
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 4/21/1982
Interest Rate Options ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
