Matthew J. Shields
Professional summary
Matthew James Shields, who also goes by Matthew J Shields, Matt Shields, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Georgetown, Texas.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Matthew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew James Shields's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2017 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 2004 Williams Dr, Georgetown, TX 78628June 16, 2017 - December 13, 2017
PURSHE KAPLAN STERLING INVESTMENTS
April 13, 2012 - June 21, 2017
PRUCO SECURITIES, LLC.
August 30, 2010 - June 21, 2017
PRUCO SECURITIES, LLC.
December 15, 2005 - October 10, 2007
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/16/2017)
Exams
Current Firm
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
Contact information
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,833 |
| AUM (Assets Under Management) | $ 7,282,480,817 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 01/23/2024 | ||
| 03/24/2023 |
Red Flags
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