WS
William M. Shields
GFI SECURITIES LLC
New York, NY 10041
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CRD#: 2380166
WS
Professional summary
William Michael Shields is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York and FMX EXECUTION, LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2000. William has worked at 10 firms and has passed the Series 66, Series 52TO, Series 57TO, Series 99TO, SIE, Series 87, Series 3, Series 55, Series 30, Series 53, Series 4, Series 27, Series 14, Series 10 and Series 9 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 William Michael 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
June 21, 2002 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041BD
CRD#: 19982
New York, NY
Current
March 10, 2011 - Present
FMX EXECUTION, LLC
Office #1: 55 Water Street, New York, NY 10041BD
CRD#: 154075
New York, NY
Current
December 19, 2017 - Present
CANTOR FITZGERALD & CO.
Office #1: 331 Newman Springs Rd Building 3, Red Bank, NJ 07701Office #2: 47 Maple Street Atrium 2nd Floor, Summit, NJ 07901Office #3: 110 East 59th Street 4th Floor, New York, NY, 10022BD
CRD#: 134
RED BANK, NJ
Current
April 16, 2021 - Present
CF SECURED, LLC
Office #1: 47 Maple Street Atrium 2nd Floor, Summit, NJ 07901Office #2: 110 East 59th Street 4th Floor, New York, NY 10022BD
CRD#: 285841
Summit, NJ
Current
July 1, 2021 - Present
BGC FINANCIAL, L.P.
Office #1: 331 Newman Springs Rd Building 3, Red Bank, NJ 07701BD
CRD#: 19801
Red Bank, NJ
Past
August 10, 2018 - May 27, 2020
CFWP SECURITIES, LLC
BD
CRD#: 170228
NEW YORK, NY
Past
January 11, 2017 - July 1, 2021
SUNRISE BROKERS LLC
BD
CRD#: 151012
NEW YORK, NY
Past
June 28, 2002 - December 18, 2003
INTER-DEALER BROKERS LLC
BD
CRD#: 45502
NEW YORK, NY
Past
March 9, 2002 - June 27, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
May 15, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
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
Colorado(1/11/2017)
RR
Florida(2/23/2017)
RR
Georgia(3/23/2016)
RR
Maryland(3/16/2017)
RR
Minnesota(4/6/2017)
RR
New Jersey(9/13/2023)
RR
New York(4/25/2005)
RR
North Carolina(2/1/2017)
RR
Ohio(12/9/2010)
RR
Pennsylvania(1/31/2017)
RR
Texas(6/24/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/4/2001
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BF
BGC FINANCIAL, L.P.
AUREL, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE BROKERS, A DIVISION OF BGC FINANCIAL LP | PRECISION, A DIVISION OF BGC FINANCIAL, L.P. | POTEN CAPITAL, A DIVISION OF BGC FINANCIAL, L.P. | MINT PARTNERS, A DIVISION OF BGC FINANCIAL, L.P. | MAXCOR FINANCIAL INC. | MAXCOR (DIVISION OF EURO BROKERS INC.) | MAXCOR | FENICS, A DIVISION OF BGC FINANCIAL, L.P. | FENICS UST, A DIVISION OF BGC FINANCIAL, L.P. | FENICS US TREASURIES, A DIVISION OF BGC FINANCIAL, L.P. | FENICS GO US, A DIVISION OF BGC FINANCIAL, L.P | EUROBROKERS, A DIVISION OF BGC FINANCIAL, L.P. | EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. | EURO BROKERS MAXCOR INC. | BGC RV | BGC RELATIVE VALUE, A DIVISION OF BGC FINANCIAL, L.P. | BGC LIQUIDEZ, A DIVISION OF BGC FINANCIAL, L.P. | BGC LAKE, A DIVISION OF BGC FINANCIAL, L.P. | BGC FINANCIAL, L.P. | BGC FINANCIAL INC.
CRD#: 19801 / SEC#: , 8-39012
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Water Street 10th Floor, New York, NY, 10004
Mailing Address
55 Water Street 10th Floor, New York, NY, 10041
Phone number
(646) 346-7000
Established
Delaware since 04/02/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
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.
