Ben P. 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.
Ben Perry Shields JR was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 1972. Ben had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2004 - November 7, 2022
CROWN CAPITAL SECURITIES, L.P.
July 19, 1999 - November 7, 2022
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - July 19, 1999
MUTUAL SERVICE CORPORATION
November 14, 1977 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
June 1, 1976 - December 11, 1977
M. H. DECKARD & CO., INC.
July 25, 1975 - June 26, 1976
&PARTNERS
August 7, 1974 - June 27, 1975
JACQUES-MILLER INVESTMENT COMPANY
June 24, 1974 - August 31, 1975
PLA SECURITIES CORPORATION
June 22, 1972 - November 11, 1973
&PARTNERS
April 13, 1972 - August 8, 1972
OXFORD INVESTMENT CORPORATION
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/6/1972
Registered Representative ExaminationSeries 40
Date: 12/7/1978
Registered Principal ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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