Robert S. 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.
Robert Stratford Shields, who also goes by Robert Stratford Shields, Robert Shields, Stratford Shields, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 5 firms and has passed the Series 63, Series 50, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2019 - March 19, 2024
LOOP CAPITAL MARKETS LLC
November 7, 2017 - December 20, 2018
WELLS FARGO SECURITIES, LLC
June 10, 2014 - August 22, 2017
RBC CAPITAL MARKETS, LLC
September 9, 1996 - July 1, 2014
MORGAN STANLEY & CO. LLC
October 30, 1995 - September 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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