KS
Kevin A. Shields
FORESIDE FUND SERVICES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 1574106
KS
Professional summary
Kevin Alan Shields is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in El Segundo, California.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 72, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Alan Shields's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 20, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 266 Kansas St., El Segundo, CA 90245BD
CRD#: 46106
El Segundo, CA
Past
December 7, 2020 - March 30, 2022
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
EL SEGUNDO, CA
Past
July 18, 1995 - December 20, 2018
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
EL SEGUNDO, CA
Past
April 30, 1993 - November 2, 1994
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
October 22, 1986 - April 3, 1992
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/23/2022)
RR
Alaska(6/1/2022)
RR
Arizona(6/15/2022)
RR
California(5/20/2022)
RR
Colorado(5/23/2022)
RR
Connecticut(5/20/2022)
RR
Delaware(5/23/2022)
RR
District of Columbia(5/23/2022)
RR
Florida(5/23/2022)
RR
Georgia(5/23/2022)
RR
Idaho(5/20/2022)
RR
Illinois(5/23/2022)
RR
Indiana(6/27/2022)
RR
Iowa(5/23/2022)
RR
Kansas(5/23/2022)
RR
Kentucky(5/23/2022)
RR
Louisiana(5/23/2022)
RR
Maine(5/23/2022)
RR
Maryland(5/24/2022)
RR
Michigan(5/24/2022)
RR
Minnesota(5/23/2022)
RR
Mississippi(5/23/2022)
RR
Missouri(1/2/2025)
RR
Montana(5/23/2022)
RR
Nebraska(5/20/2022)
RR
Nevada(6/2/2022)
RR
New Hampshire(5/24/2022)
RR
New Jersey(5/23/2022)
RR
New Mexico(5/23/2022)
RR
New York(5/24/2022)
RR
North Carolina(5/23/2022)
RR
North Dakota(5/23/2022)
RR
Ohio(5/20/2022)
RR
Oklahoma(6/2/2022)
RR
Oregon(6/1/2022)
RR
Pennsylvania(5/23/2022)
RR
Rhode Island(5/31/2022)
RR
South Carolina(7/20/2022)
RR
South Dakota(6/8/2022)
RR
Texas(5/20/2022)
RR
Utah(5/20/2022)
RR
Vermont(5/23/2022)
RR
Virgin Islands(5/26/2022)
RR
Virginia(5/23/2022)
RR
Washington(6/2/2022)
RR
West Virginia(5/23/2022)
RR
Wisconsin(5/20/2022)
RR
Wyoming(5/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
