Michael K. Shields

Some features on this profile are disabled

CRD#: 2248861

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.

Michael Kirk Shields, who also goes by Mike Shields, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 8 firms and has passed the Series 66, Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Shields

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.

UNC-CHARLOTTE INVESTMENT FUND. CHARLOTTE, NC. DIRECTOR, OVERSIGHT OF UNIVERSITY ENDOWMENT & FOUNDATION ASSETS. NON-PAID ROLE FOR UNIVERSITY. 2-3 HOURS/MONTH. GRISANTI CAPITAL MANAGEMENT, INVESTMENT MANAGEMENT FIRM 777 THIRD AVE, NYC, OUTSIDE DIRECTOR AND INVESTMENT COMMITTEE. PAID $2500/QUARTER. HELP CHRIS GRISANTI WITH OVERALL BUSINESS STRATEGY AND PORTFOLIO MANAGEMENT. 6-8 HOURS/MONTH.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 4, 2012 - October 29, 2024

PIEDMONT CAPITAL MANAGEMENT, LLC

RIA

CRD#: 155682

GREENBORO, NC

Past

November 5, 2010 - April 4, 2012

VISION CAPITAL & MANAGEMENT

RIA

CRD#: 118363

DAVIDSON, NC

Past

July 27, 2010 - March 27, 2012

FSC SECURITIES CORPORATION

CRD#: 7461

DAVIDSON, NC

Past

April 29, 2005 - June 22, 2005

TCA FINANCIAL GROUP, LLC

RIA

CRD#: 131275

CHARLOTTE, NC

Past

April 29, 2005 - June 22, 2005

TCA FINANCIAL GROUP, LLC

CRD#: 131275

CHARLOTTE, NC

Past

April 18, 2005 - February 22, 2008

EASTOVER CAPITAL MANAGEMENT INC

RIA

CRD#: 105149

CHARLOTTE, NC

Past

November 5, 2002 - April 30, 2003

WARFIELD ASSOCIATES, INC.

CRD#: 13774

NEW YORK, NY

Past

December 11, 1998 - August 31, 2001

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

Past

July 1, 1992 - January 27, 1997

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PIEDMONT CAPITAL MANAGEMENT, LLC

PIEDMONT CAPITAL MANAGEMENT, LLC | PIEDMONT FINANCIAL TRUST COMPANY

CRD#: 155682 / SEC#: 801-110286

RIA

Registered Investment Advisory firm - (4/5/2017 Approved)

North Carolina

Registered Investment Advisory firm - (4/10/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/2/1994

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/11/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/26/2010

General Securities Representative Examination

Current Firm

PIEDMONT CAPITAL MANAGEMENT, LLC

PIEDMONT CAPITAL MANAGEMENT, LLC | PIEDMONT FINANCIAL TRUST COMPANY

CRD#: 155682 / SEC#: 801-110286

RIA

Registered Investment Advisory firm - (4/5/2017 Approved)

North Carolina

Registered Investment Advisory firm - (4/10/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

800 Green Valley Rd., Ste 203, Greenboro, NC 27408

Mailing Address

P O Box 20124, Greensboro, NC 27420

Phone number

(336) 274-5471

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 407,650,320

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/15/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/21/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael K. Shields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VISION CAPITAL & MANAGEMENT

FSC SECURITIES CORPORATION

TCA FINANCIAL GROUP, LLC

TCA FINANCIAL GROUP, LLC

EASTOVER CAPITAL MANAGEMENT INC

WARFIELD ASSOCIATES, INC.

UST FINANCIAL SERVICES CORP.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

PIEDMONT CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2010

Series 63

Date: 8/2/1994

Series 65

Date: 8/11/1993

Series 7

Date: 7/26/2010

Current Firm

PIEDMONT CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PIEDMONT CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors