Andrew T. Shields

CANTOR FITZGERALD INVESTMENT ADVISORS

New York, NY 10022

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CRD#: 5929773

Professional summary

Andrew Thomas Shields is a registered financial advisor currently at CANTOR FITZGERALD INVESTMENT ADVISORS located in New York, New York and CANTOR FITZGERALD & CO. located in New York, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Andrew has worked at 7 firms and has passed the Series 66, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Thomas 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

March 3, 2025 - Present

CANTOR FITZGERALD INVESTMENT ADVISORS

Office #1: 110 East 59th Street 7th Floor, New York, NY 10022

RIA

CRD#: 159296

New York, NY

Current

February 3, 2025 - Present

CANTOR FITZGERALD & CO.

Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022

CRD#: 134

New York, NY

Past

September 6, 2023 - February 4, 2025

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Miamisburg, OH

Past

September 6, 2023 - February 4, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Miamisburg, OH

Past

December 19, 2017 - April 21, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CINCINNATI, OH

Past

December 19, 2017 - April 21, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CINCINNATI, OH

Past

September 15, 2016 - December 5, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

January 20, 2015 - December 5, 2017

SCOTTRADE, INC.

CRD#: 8206

CINCINNATI, OH

Past

March 20, 2013 - October 7, 2014

EDWARD JONES

RIA

CRD#: 250

LOVELAND, OH

Past

March 4, 2013 - October 7, 2014

EDWARD JONES

CRD#: 250

LOVELAND, OH

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".

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(10/31/2025)

District of Columbia
(10/31/2025)

Maryland
(10/31/2025)

Ohio
(2/3/2025)

IAR

Ohio
(3/3/2025)

Pennsylvania
(10/31/2025)

Virginia
(10/31/2025)

West Virginia
(10/31/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/15/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2013

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

110 East 59th Street 7th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 915-1722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 2,384,816,869

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew T. Shields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Thomas Shields's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CANTOR FITZGERALD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2013

Cboe BYX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTOR FITZGERALD INVESTMENT ADVISORS

TRUST BUT VERIFY

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