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MS

Michael P. Shields

WATERFRONT WEALTH
Ocala, FL 34471
Some features on this profile are disabled
CRD#: 3075094
MS

Professional summary

Michael Paul Shields, CFP®, who also goes by Mike Shields, is a registered financial advisor currently at WATERFRONT WEALTH INC. located in Ocala, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mike Shields

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Paul Shields's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2007

Experience

Current

April 2, 2015 - Present

WATERFRONT WEALTH INC.

Office #1: 217 Se 1st Ave. Suite 200-116, Ocala, FL 34471
RIA
CRD#: 173220
Ocala, FL
Past

May 18, 2012 - October 5, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
LEAWOOD, KS
Past

May 18, 2012 - October 5, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
LEAWOOD, KS
Past

January 1, 2008 - May 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
OVERLAND PARK, KS
Past

January 1, 2008 - May 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
OVERLAND PARK, KS
Past

June 2, 2000 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
OVERLAND PARK, KS
Past

December 3, 1999 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
OVERLAND PARK, KS
Past

July 23, 1998 - January 5, 2000

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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".
WW
WATERFRONT WEALTH INC.
WATERFRONT ASSET MANAGEMENT | WATERFRONT WEALTH MANAGEMENT | WATERFRONT WEALTH INC. | WATERFRONT WEALTH ADVISORS

CRD#: 173220 / SEC#: 801-110161

RIA
Registered Investment Advisory firm - (3/22/2017 Approved)
Kansas
Registered Investment Advisory firm - (3/29/2017 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.

Highlighted states indicate IAR registrations

IAR
Florida
(1/30/2023)
IAR
Kansas
(4/2/2015)
IAR
Texas
(12/26/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/24/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/4/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 7/21/1998
Municipal Securities Representative Examination

Current Firm

WW
WATERFRONT WEALTH INC.
WATERFRONT ASSET MANAGEMENT | WATERFRONT WEALTH MANAGEMENT | WATERFRONT WEALTH INC. | WATERFRONT WEALTH ADVISORS

CRD#: 173220 / SEC#: 801-110161

RIA
Registered Investment Advisory firm - (3/22/2017 Approved)
Kansas
Registered Investment Advisory firm - (3/29/2017 Terminated)
PREMIUM
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Contact information

Main Address
6711 W 121st Street Suite 200, Overland Park, KS 66209
Mailing Address
Phone number
(913) 951-5800
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WATERFRONT WEALTH ADV PART 2 (3/13/2026)

Regulatory assets under management

Total Number of Accounts3,224
AUM (Assets Under Management)$ 1,138,000,000

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.

Company Information

WATERFRONT WEALTH INC.

CRD#: 173220Ocala, FL 34471

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