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GS

Gary L. Shields

NASSAU STREET SECURITIES
NEW YORK, NY 10005
CRD#: 1801889
Some features on this profile are disabled
GS
Gary Lawrence ShieldsNASSAU STREET SECURITIES

Professional summary

Gary Lawrence Shields is a registered financial professional currently at NASSAU STREET SECURITIES, LLC located in New York, New York.

Gary is registered as a RR (Registered Representative) and started their career in finance in 2013. Gary has worked at 6 firms and has passed the Series 63, SIE and Series 79 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Lawrence 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®
None

Experience

Current

June 11, 2026 - Present

NASSAU STREET SECURITIES, LLC

Office #1: 40 Wall Street, Suite 2839, New York, NY 10005
BD
CRD#: 339050
NEW YORK, NY
Past

August 12, 2025 - February 27, 2026

BRITEHORN SECURITIES

BD
CRD#: 36402
DENVER, CO
Past

January 30, 2023 - August 6, 2025

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

August 9, 2017 - March 15, 2021

SHORELINEAMBROSE ADVISORS, LLC

BD
CRD#: 141046
SAN DIEGO, CA
Past

November 25, 2013 - January 30, 2019

CSJ WEALTH MANAGEMENT, LLC

RIA
CRD#: 169437
SAN DIEGO, CA
Past

September 23, 2013 - December 31, 2013

CAINE CAPITAL MANAGEMENT

RIA
CRD#: 117670
SOLANA BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/9/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NASSAU STREET SECURITIES, LLC
NASSAU STREET SECURITIES LLC | NASSAU STREET SECURITIES, LLC

CRD#: 339050 / SEC#: , 8-71448

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Wall Street, Suite 2839, New York, NY 10005
Mailing Address
40 Wall Street, Suite 2839, New York, NY 10005
Phone number
(239) 235-1960
Established
Delaware since 04/21/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
NASSAU STREET USA HOLDINGS LLCSOLE MEMBER
KLEINER, JOELFINANCIAL OPERATIONS PRINCIPAL7450898
MANNING, STEVEN ALLENDEPUTY CCO4470995
MORENO ROVIRA, JUANPRESIDENT AND ULTIMATE BENEFICIAL OWNER7574111
PROFFITT, JAY TILDENCEO AND CCO3176046

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.

Company Information

NASSAU STREET SECURITIES, LLC

CRD#: 339050New York, NY 10005

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