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AS

Andrew J. Shields

ARES MANAGEMENT CAPITAL MARKETS LLC
Denver, CO 80202
Some features on this profile are disabled
CRD#: 6304259
AS

Professional summary

Andrew Joseph Shields, who also goes by Drew Joseph Shields, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Denver, Colorado.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2014. Andrew has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Drew Joseph Shields

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) - BD

Click below to view Andrew Joseph 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

January 2, 2026 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 1200 17th Street Suite 2900, Denver, CO 80202
BD
CRD#: 166219
Denver, CO
Past

May 8, 2018 - January 2, 2026

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

September 22, 2016 - May 8, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

October 27, 2015 - September 6, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
MADISON, WI
Past

October 27, 2015 - September 6, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
MADISON, WI
Past

July 15, 2014 - April 23, 2015

WADDELL & REED

RIA
CRD#: 866
MADISON, WI
Past

June 9, 2014 - April 23, 2015

WADDELL & REED

BD
CRD#: 866
MADISON, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Colorado
(1/2/2026)
RR
Illinois
(1/2/2026)
RR
Indiana
(1/2/2026)
RR
Iowa
(1/2/2026)
RR
Michigan
(1/2/2026)
RR
Minnesota
(1/2/2026)
RR
Nebraska
(1/2/2026)
RR
North Dakota
(1/2/2026)
RR
South Dakota
(1/2/2026)
RR
Wisconsin
(1/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/15/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1200 17th Street Suite 2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite 2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCO-CEO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
TAYLOR, JEFFREY WILLIAMCO-CEO2874057

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.

Company Information

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Denver, CO 80202

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