JS
John M. Shields
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CRD#: 4857245
JS
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.
John Michael Shields was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2004. John had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
100% OWNERSHIP - MICHAEL SHIELDS, 79302 MONTEGO BAY DR., #13, BERMUDA DUNES, CA 92203. THE TYPE OF BUSINESS IS PRODUCE OIL ON CANVAS PAINTINGS FOR SALE ON PRE-ORDER SPECIAL REQUEST, OR CONTINGENT SALE. DUTIES ARE ARTIST; SOME OF THE PAINTINGS MAY BE SOLD IN A LOCAL ART GALLERY. WORKS 10 TO 15 HOURS PER MONTH AND 0 DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 26, 2011 - February 27, 2025
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
Palm Desert, CA
Past
May 26, 2011 - February 27, 2025
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
PALM DESERT, CA
Past
June 1, 2009 - June 3, 2011
MORGAN STANLEY
RIA
CRD#: 149777
INDIAN WELLS, CA
Past
June 1, 2009 - June 3, 2011
MORGAN STANLEY
BD
CRD#: 149777
INDIAN WELLS, CA
Past
July 20, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PALM DESERT, CA
Past
July 20, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PALM DESERT, CA
Past
April 29, 2005 - July 26, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PALM DESERT, CA
Past
April 29, 2005 - July 26, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PALM DESERT, CA
Past
January 20, 2005 - April 22, 2005
WADDELL & REED
RIA
CRD#: 866
INDIAN WELLS, CA
Past
December 9, 2004 - April 22, 2005
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
HIGHTOWER ADVISORS, LLC
2/13 STRATEGIC PARTNERS | XCEPTION ADVISORY GROUP | WOLF-COLLINS WEALTH MANAGEMENT | WISEHAUPT, BRAY ASSET MANAGEMENT | WHITE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTHTRUST ADVISORS | VWG WEALTH MANAGEMENT | VIGILANT WEALTH MANAGEMENT | UNITED FIDUCIARY PARTNERS, LLC | UNITED FIDUCIARY ADVISORS, LLC | TWICKENHAM ADVISORS | TRUE WEALTH ADVISORY GROUP | TRESNAN FERST WEALTH ADVISORS | TREASURY PARTNERS | THREE BRIDGE WEALTH ADVISORS | THE THRUSH GROUP | THE RIKOON GROUP | THE RAND GROUP | THE OTTO GROUP | THE NULMAN GROUP | THE MORGIA GROUP | THE MCGUIRK & DE NEVI GROUP | THE LEVIN GROUP | THE LEVENTHAL GROUP | THE LERNER GROUP | THE KELLY & WOHLNER GROUP | THE HAUSBERG GROUP | THE G3 ADVISORY GROUP | THE DILLIG GROUP | THE DEGGELMAN/PARKER GROUP | THE BLANKE SCHEIN GROUP | THE BAHNSEN GROUP | THE ANDRIOLE GROUP | TEN CAPITAL WEALTH ADVISORS | TEAK TREE CAPITAL MANAGEMENT | SYNERGY CAPITAL SOLUTIONS | STRATA WEALTH PARTNERS | STRATA WEALTH MANAGEMENT | STEARNS FINANCIAL GROUP | SOMERSET ADVISORY | SMITH ANGLIN FINANCIAL | SIMMONS-WILKES INVESTMENT ADVISORS | SIMMONS INVESTMENT ADVISORS | SILLER & COHEN | SHAFFER WEALTH MANAGEMENT | SCHULTZ COLLINS | SCANNELL WEALTH MANAGEMENT GROUP | ROSENAU/PAUL GROUP | ROSE ADVISORS | RJ WEALTH MANAGEMENT | RESOURCE CONSULTING GROUP | RESOLUTE INDEPENDENT ADVISORS | RDM FINANCIAL GROUP | PRIVATE VISTA | PRESIDIO WEALTH PARTNERS | PDS WEALTH MANAGEMENT | PAGNATO-KARP GROUP | OSBORN, WILLIAMS, & DONOHOE | ONEARC CAPITAL ADVISORS | NUCLEUS ADVISORS | NATOMA WEALTH | MURRAY WEALTH MANAGEMENT | MORSE, TOWEY, WHITE & HOFFMAN | MORSE TOWEY & WHITE | MORGIA WEALTH MANAGEMENT | MOLNAR/NORDLICHT GROUP | MK WEALTH MANAGEMENT | MEYER CAPITAL GROUP | MATTHIAS KUHLMEY AT HIGHTOWER | MASTERSON, EMMA, & ASSOCIATES | LYON WEALTH MANAGEMENT, INC. | LYON WEALTH MANAGEMENT AT HIGHTOWER | LUMA WEALTH ADVISORS | LRG WEALTH ADVISORS | LOURDMURRAY | LOUIS WEALTH MANAGEMENT | LK WEALTH & ASSET MANAGEMENT | LINDBROOK CAPITAL | LEXINGTON WEALTH MANAGEMENT, INC. | LEXINGTON WEALTH MANAGEMENT | LEONETTI AND ASSOCIATES | LEGACY WEALTH ADVISORS | LCK WEALTH MANAGEMENT | LANDSBERG BENNETT PRIVATE WEALTH MANAGEMENT | KLEIN WEALTH MANAGEMENT | KELLY WEALTH MANAGEMENT | IRONGATE PARTNERS | INVESTMENT SECURITY GROUP | HWM ADVISORS | HUMMER MOWER ASSOCIATES | HT|TC WEALTH PARTNERS | HSW ADVISORS | HILL WEALTH MANAGEMENT | HIGHTOWER/THOMAS MCGUIRK | HIGHTOWER/THE BAPIS GROUP | HIGHTOWER/LYMAN GROUP | HIGHTOWER WESTCHESTER | HIGHTOWER WEALTH ADVISORS|ST. LOUIS | HIGHTOWER TEXAS | HIGHTOWER SPORTS AND ENTERTAINMENT | HIGHTOWER SIGNATURE WEALTH | HIGHTOWER SCOTTSDALE | HIGHTOWER OMAHA | HIGHTOWER NAPLES | HIGHTOWER LAS VEGAS | HIGHTOWER LAKEWATER | HIGHTOWER GREAT LAKES | HIGHTOWER GAYLE JOHNSON | HIGHTOWER FORT MYERS | HIGHTOWER BUFFALO | HIGHTOWER BETHESDA | HIGHTOWER BELLEVUE | HIGHTOWER AUSTIN | HIGHTOWER ADVISORS, LLC | HIGHTOWER | HIGHLAND PRIVATE WEALTH MANAGEMENT | HIERAX WEALTH PARTNERS | GREEN SQUARE WEALTH MANANGEMENT | FORTRESS WEALTH PLANNING | FISCHER STRALEM ADVISORS | FINANCIAL PRINCIPLES | FINANCIAL PLANNING AND INFORMATION SERVICES | FIDUCIARY PLAN ADVISORS | FEINBERG STEIN FINANCIAL SERVICES | FARR, MILLER AND WASHINGTON | FALCON WEALTH ADVISORS | FAIRPORT WEALTH | ENVISION FINANCIAL GROUP | EGAN WEALTH ADVISORS | DSG ADVISORS | DEGGELMAN/PARKER GROUP | DECHTMAN WEALTH MANAGEMENT | D3 WEALTH PARTNERS | CREST CAPITAL ADVISORS | COGNETIC CAPITAL ADVISORS | CLEAR PERSPECTIVE ADVISORS | CLARITY POINT FINANCIAL PARTNERS | CHARLES D. HYMAN & COMPANY | CAPITAL MANAGEMENT GROUP | OF NEW YORK | BOSTON HILL ADVISORS | BLUEROCK WEALTH MANAGEMENT | BLANKE SCHEIN WEALTH MANAGEMENT | BICKLING FINANCIAL SERVICES | BEL AIR INVESTMENT ADVISORS | ARGENT WEALTH MANAGEMENT | ANDERSON FINANCIAL GROUP @ HIGHTOWER | AMIDEI ROMANO GROUP | ALTIUM WEALTH MANAGEMENT | ALINE WEALTH MANAGEMENT | ALEXANDRIA CAPITAL | ACACIA WEALTH ADVISORS | 6 MERIDIAN
CRD#: 145323 / SEC#: 801-69625
RIA
Registered Investment Advisory firm - (10/3/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HIGHTOWER ADVISORS, LLC
2/13 STRATEGIC PARTNERS | XCEPTION ADVISORY GROUP | WOLF-COLLINS WEALTH MANAGEMENT | WISEHAUPT, BRAY ASSET MANAGEMENT | WHITE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTHTRUST ADVISORS | VWG WEALTH MANAGEMENT | VIGILANT WEALTH MANAGEMENT | UNITED FIDUCIARY PARTNERS, LLC | UNITED FIDUCIARY ADVISORS, LLC | TWICKENHAM ADVISORS | TRUE WEALTH ADVISORY GROUP | TRESNAN FERST WEALTH ADVISORS | TREASURY PARTNERS | THREE BRIDGE WEALTH ADVISORS | THE THRUSH GROUP | THE RIKOON GROUP | THE RAND GROUP | THE OTTO GROUP | THE NULMAN GROUP | THE MORGIA GROUP | THE MCGUIRK & DE NEVI GROUP | THE LEVIN GROUP | THE LEVENTHAL GROUP | THE LERNER GROUP | THE KELLY & WOHLNER GROUP | THE HAUSBERG GROUP | THE G3 ADVISORY GROUP | THE DILLIG GROUP | THE DEGGELMAN/PARKER GROUP | THE BLANKE SCHEIN GROUP | THE BAHNSEN GROUP | THE ANDRIOLE GROUP | TEN CAPITAL WEALTH ADVISORS | TEAK TREE CAPITAL MANAGEMENT | SYNERGY CAPITAL SOLUTIONS | STRATA WEALTH PARTNERS | STRATA WEALTH MANAGEMENT | STEARNS FINANCIAL GROUP | SOMERSET ADVISORY | SMITH ANGLIN FINANCIAL | SIMMONS-WILKES INVESTMENT ADVISORS | SIMMONS INVESTMENT ADVISORS | SILLER & COHEN | SHAFFER WEALTH MANAGEMENT | SCHULTZ COLLINS | SCANNELL WEALTH MANAGEMENT GROUP | ROSENAU/PAUL GROUP | ROSE ADVISORS | RJ WEALTH MANAGEMENT | RESOURCE CONSULTING GROUP | RESOLUTE INDEPENDENT ADVISORS | RDM FINANCIAL GROUP | PRIVATE VISTA | PRESIDIO WEALTH PARTNERS | PDS WEALTH MANAGEMENT | PAGNATO-KARP GROUP | OSBORN, WILLIAMS, & DONOHOE | ONEARC CAPITAL ADVISORS | NUCLEUS ADVISORS | NATOMA WEALTH | MURRAY WEALTH MANAGEMENT | MORSE, TOWEY, WHITE & HOFFMAN | MORSE TOWEY & WHITE | MORGIA WEALTH MANAGEMENT | MOLNAR/NORDLICHT GROUP | MK WEALTH MANAGEMENT | MEYER CAPITAL GROUP | MATTHIAS KUHLMEY AT HIGHTOWER | MASTERSON, EMMA, & ASSOCIATES | LYON WEALTH MANAGEMENT, INC. | LYON WEALTH MANAGEMENT AT HIGHTOWER | LUMA WEALTH ADVISORS | LRG WEALTH ADVISORS | LOURDMURRAY | LOUIS WEALTH MANAGEMENT | LK WEALTH & ASSET MANAGEMENT | LINDBROOK CAPITAL | LEXINGTON WEALTH MANAGEMENT, INC. | LEXINGTON WEALTH MANAGEMENT | LEONETTI AND ASSOCIATES | LEGACY WEALTH ADVISORS | LCK WEALTH MANAGEMENT | LANDSBERG BENNETT PRIVATE WEALTH MANAGEMENT | KLEIN WEALTH MANAGEMENT | KELLY WEALTH MANAGEMENT | IRONGATE PARTNERS | INVESTMENT SECURITY GROUP | HWM ADVISORS | HUMMER MOWER ASSOCIATES | HT|TC WEALTH PARTNERS | HSW ADVISORS | HILL WEALTH MANAGEMENT | HIGHTOWER/THOMAS MCGUIRK | HIGHTOWER/THE BAPIS GROUP | HIGHTOWER/LYMAN GROUP | HIGHTOWER WESTCHESTER | HIGHTOWER WEALTH ADVISORS|ST. LOUIS | HIGHTOWER TEXAS | HIGHTOWER SPORTS AND ENTERTAINMENT | HIGHTOWER SIGNATURE WEALTH | HIGHTOWER SCOTTSDALE | HIGHTOWER OMAHA | HIGHTOWER NAPLES | HIGHTOWER LAS VEGAS | HIGHTOWER LAKEWATER | HIGHTOWER GREAT LAKES | HIGHTOWER GAYLE JOHNSON | HIGHTOWER FORT MYERS | HIGHTOWER BUFFALO | HIGHTOWER BETHESDA | HIGHTOWER BELLEVUE | HIGHTOWER AUSTIN | HIGHTOWER ADVISORS, LLC | HIGHTOWER | HIGHLAND PRIVATE WEALTH MANAGEMENT | HIERAX WEALTH PARTNERS | GREEN SQUARE WEALTH MANANGEMENT | FORTRESS WEALTH PLANNING | FISCHER STRALEM ADVISORS | FINANCIAL PRINCIPLES | FINANCIAL PLANNING AND INFORMATION SERVICES | FIDUCIARY PLAN ADVISORS | FEINBERG STEIN FINANCIAL SERVICES | FARR, MILLER AND WASHINGTON | FALCON WEALTH ADVISORS | FAIRPORT WEALTH | ENVISION FINANCIAL GROUP | EGAN WEALTH ADVISORS | DSG ADVISORS | DEGGELMAN/PARKER GROUP | DECHTMAN WEALTH MANAGEMENT | D3 WEALTH PARTNERS | CREST CAPITAL ADVISORS | COGNETIC CAPITAL ADVISORS | CLEAR PERSPECTIVE ADVISORS | CLARITY POINT FINANCIAL PARTNERS | CHARLES D. HYMAN & COMPANY | CAPITAL MANAGEMENT GROUP | OF NEW YORK | BOSTON HILL ADVISORS | BLUEROCK WEALTH MANAGEMENT | BLANKE SCHEIN WEALTH MANAGEMENT | BICKLING FINANCIAL SERVICES | BEL AIR INVESTMENT ADVISORS | ARGENT WEALTH MANAGEMENT | ANDERSON FINANCIAL GROUP @ HIGHTOWER | AMIDEI ROMANO GROUP | ALTIUM WEALTH MANAGEMENT | ALINE WEALTH MANAGEMENT | ALEXANDRIA CAPITAL | ACACIA WEALTH ADVISORS | 6 MERIDIAN
CRD#: 145323 / SEC#: 801-69625
RIA
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Contact information
Main Address
200 W. Madison St. Suite 2500, Chicago, IL 60606
Mailing Address
Phone number
(312) 962-3800
Established
Firm type
Fiscal year end
# of Employees
1,837
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 194,461 |
| AUM (Assets Under Management) | $ 164,789,471,551 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/05/2025 | ||
| 10/28/2025 | ||
| 10/28/2025 | ||
| 09/29/2025 | ||
| 09/17/2025 | ||
| 09/15/2025 | ||
| 08/28/2025 | ||
| 01/28/2025 | ||
| 01/28/2025 | ||
| 01/28/2025 | ||
| 12/12/2024 | ||
| 12/06/2024 | ||
| 11/11/2024 | ||
| 10/25/2024 | ||
| 09/27/2024 | ||
| 09/26/2024 | ||
| 12/21/2023 | ||
| 12/19/2023 | ||
| 12/19/2023 | ||
| 12/19/2023 | ||
| 12/11/2023 | ||
| 11/20/2023 | ||
| 11/15/2023 | ||
| 11/08/2023 | ||
| 11/07/2023 | ||
| 10/30/2023 | ||
| 10/25/2023 | ||
| 01/25/2023 | ||
| 12/21/2022 | ||
| 12/15/2022 | ||
| 12/15/2022 | ||
| 12/08/2022 | ||
| 11/28/2022 | ||
| 11/18/2022 |
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.
