DS
Douglas A. Shields
CREATIVE FINANCIAL DESIGNS
GREENVILLE, OH 45331
Some features on this profile are disabled
CRD#: 2255178
DS
Professional summary
Douglas Alan Shields is a registered financial advisor currently at CREATIVE FINANCIAL DESIGNS, INC. located in Greenville, Ohio and CFD INVESTMENTS, INC. located in Greenville, Ohio.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Douglas has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) CD SHIELDS FARM. 6566 SR 571 GREENVILLE, OH. VICE PRESIDENT. 2) CREATIVE FINANCIAL DESIGNS, INC. 2704 S GOYER RD, KOKOMO, IN 46902. INVESTMENT ADVISER REPRESENTATIVE 3) Rental Property-Non investment related-Greenville, OH-Owner-Start date 12/28/2012-0/hrs per mon 4) May Financial Group; Investment Related; 425 Memorial Dr, Greenville, OH 45331; sales of securities and managed money exclusively through CFD Investments, INC. and Creative Financial Designs; Registered Rep; 11/26/2024; 160 hrs/mo; 160 hrs/mo; Sale and Service of investments and customer service.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas 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
September 28, 2000 - Present
CREATIVE FINANCIAL DESIGNS, INC.
Office #1: 425 Memorial Drive, Greenville, OH 45331RIA
CRD#: 109032
GREENVILLE, OH
Current
July 13, 1992 - Present
CFD INVESTMENTS, INC.
Office #1: 425 Memorial Dr., Greenville, OH 45331BD
CRD#: 25427
Greenville, OH
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".
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(9/30/2022)
RR
Arizona(11/5/2013)
RR
California(2/25/2020)
RR
Florida(6/7/2016)
RR
Georgia(5/12/2025)
RR
Indiana(1/3/2011)
RR
Iowa(2/1/2024)
RR
Kentucky(1/6/2021)
RR
Michigan(2/24/2025)
RR
Mississippi(4/3/2023)
RR
Missouri(7/10/2024)
RR
New York(3/10/2021)
RR
North Carolina(1/24/2024)
RR
Ohio(7/14/1992)
IAR
Ohio(9/28/2000)
RR
Oregon(7/10/2024)
RR
Texas(1/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box # 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
