James M. Shields

TOWLE & CO

DENVER, CO 80246

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CRD#: 6486927

Professional summary

James Matthew Shields is a registered financial advisor currently at TOWLE & CO located in Denver, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. James has worked at 1 firm and has passed the Series 3 exam.

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 James Matthew 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

May 15, 2015 - Present

TOWLE & CO

Office #1: 720 S. Colorado Blvd Suite 730-s, Denver, CO 80246

RIA

CRD#: 110862

DENVER, CO

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".

TOWLE & CO

CRD#: 110862 / SEC#: 801-16622

RIA

Registered Investment Advisory firm - (12/10/1981 Approved)

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

Colorado
(8/29/2019)

IAR

Missouri
(5/15/2015)

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

General Industry/Product Exam

Series 3

Date: 8/30/2021

National Commodity Futures Examination

Current Firm

TOWLE & CO

CRD#: 110862 / SEC#: 801-16622

RIA

Registered Investment Advisory firm - (12/10/1981 Approved)

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Contact information

Main Address

720 S. Colorado Blvd Suite 730-s, Denver, CO 80246

Mailing Address

Phone number

(303) 731-2494

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOWLE & CO. ADV PART 2A (5/19/2025)

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 608,740,974

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 M. Shields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TOWLE & CO

Primary Firm SEC Registration

TOWLE & CO

State Registrations and Notice Filings

Exams

Series 3

Date: 8/30/2021

Current Firm

TOWLE & CO

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWLE & CO

TRUST BUT VERIFY

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