Kevin Patrick Shields
Professional Summary
Kevin Patrick Shields is a registered financial advisor currently at DASH FINANCIAL TECHNOLOGIES LLC located in Chicago, Illinois. Kevin is registered as a RR (Registered Representative) and started their career in finance in 1997. Kevin has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 55 and Series 62 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
DASH FINANCIAL LLC | ELECTRONIC BROKERAGE SYSTEMS, LLC | ELECTRONIC BROKERAGE SYSTEMS, INC. | DASH FINANCIAL TECHNOLOGIES LLC
Contact Information
Main Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606Mailing Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606Phone Number
(312) 986-2006Established
Delaware since 12/18/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (26 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 1999Series 62 — Corporate Securities Limited Representative Examination
Passed Oct 1997SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kevin Patrick Shields's CRS (Customer Relationship Summary).
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