Janice L. 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.
Janice Lipski Shields was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1992. Janice had worked at 1 firm and has passed the Series 66, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2006 - November 25, 2014
SHIELDS & COMPANY, INC.
October 20, 1992 - November 22, 2021
SHIELDS & COMPANY, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SHIELDS & COMPANY, INC.
CRD#: 30000 / SEC#: , 8-44663
Contact information
FINRA licenses (2 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
