James P. Shields
Professional summary
James Philip Shields, who also goes by James Philip Shields, Jamie Shields, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Philip Shields's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2022 - Present
MESIROW FINANCIAL, INC.
Office #1: 353 N. Clark Street, Chicago, IL 60654September 26, 2017 - April 18, 2022
FORESIDE FUND SERVICES, LLC
March 19, 2004 - August 10, 2011
CALAMOS FINANCIAL SERVICES LLC
September 19, 2002 - March 15, 2004
BANC ONE CAPITAL MARKETS, INC.
July 27, 1999 - September 12, 2002
BANC ONE SECURITIES CORPORATION
August 6, 1997 - April 12, 1999
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2023)
Exams
FINRA
Nasdaq Stock Market
Current Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
Red Flags
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