Lance W. 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.
Lance Williams Shields SR, who also goes by Lance Williams Shields, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1970. Lance had worked at 8 firms and has passed the Series 63, Series 55, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2003 - December 10, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
January 12, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
December 11, 1998 - February 16, 1999
TITLE SECURITIES, INC.
November 1, 1996 - April 25, 1997
TITLE SECURITIES, INC.
December 5, 1984 - August 24, 1994
LASHCO, INC.
November 11, 1974 - October 24, 1975
REYNOLDS SECURITIES, INC.
January 23, 1974 - September 12, 1974
JESUP & LAMONT INC.
July 6, 1973 - February 9, 1974
PRESSMAN, FROHLICH & FROST, INC.
June 4, 1970 - August 7, 1972
LW SHIELDS CO 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
Exams
Series 55
Date: 2/13/2001
Limited Representative-Equity Trader ExamSeries 1
Date: 4/15/1970
Registered Representative ExaminationSeries 00
Date: 4/12/1971
General Securities Principal ExaminationCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
