James P. Shields

GUARDIAN CAPITAL

Wexford, PA 15090

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CRD#: 4890398

Professional summary

James Patrick Shields is a registered financial advisor currently at GUARDIAN CAPITAL, LLC located in Wexford, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ATTORNEY MANAGING PARTNER IN THE ELDER CARE OFFICES OF SHIELDS & BORIS; MANAGE LAW FIRM AND REPRESENT CLIENTS. APPROX. 120 HOURS/MONTH PARTNER: MILLER SHIELDS & ASSOC. FULL SERVICE ESTATE PLANNING, INSURANCE & TAX PLANNING. DRAFT LEGAL DOCUMENTS FOR WILLS, TRUSTS & POA USED IN ESTATE PLANNING. TIME INCLUDED IN ABOVE 120/HRS MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick 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®

None

Experience

Current

February 16, 2012 - Present

GUARDIAN CAPITAL, LLC

Office #1: 109 Vip Drive, Wexford, PA 15090

RIA

CRD#: 156015

Wexford, PA

Past

December 3, 2008 - November 10, 2010

LPL ENTERPRISE, LLC

CRD#: 8733

WEXFORD, PA

Past

May 10, 2005 - December 4, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WEXFORD, PA

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".

GUARDIAN CAPITAL, LLC

CRD#: 156015 / SEC#: 801-131430

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/13/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Pennsylvania
(2/16/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/13/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/9/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUARDIAN CAPITAL, LLC

CRD#: 156015 / SEC#: 801-131430

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/13/2024 Terminated)

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Contact information

Main Address

109 Vip Drive, Wexford, PA 15090

Mailing Address

Phone number

(724) 934-3050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART SEC 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	269
AUM (Assets Under Management)	$ 102,626,600

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.

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James P. Shields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Shields's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUARDIAN CAPITAL, LLC

LPL ENTERPRISE, LLC

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

GUARDIAN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/2005

Series 6

Date: 5/9/2005

Current Firm

GUARDIAN CAPITAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN CAPITAL, LLC

TRUST BUT VERIFY

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