Anthony J. Shields
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anthony J Shields, who also goes by Anthony Joseph Shields III, Anthony Joseph Shields, Tony Shields, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1979. Anthony had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2011 - January 27, 2022
CHARLES SCHWAB & CO., INC.
February 4, 2010 - January 3, 2011
THE WILLIAMS CAPITAL GROUP, L.P.
July 1, 2005 - February 3, 2010
GRIGSBY & ASSOCIATES, INC.
September 22, 2004 - June 7, 2005
PRAGER & CO., LLC
November 7, 2002 - July 28, 2004
UBS FINANCIAL SERVICES INC.
September 7, 2000 - November 18, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 2000 - November 18, 2002
IDS LIFE INSURANCE COMPANY
August 10, 2000 - November 18, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 1998 - June 7, 2000
DAVID LERNER ASSOCIATES, INC.
May 7, 1996 - October 30, 1997
MORGAN STANLEY DW INC.
May 29, 1990 - May 13, 1996
M. R. BEAL & COMPANY
September 5, 1989 - March 4, 1991
PURCELL GRAHAM INCORPORATED
June 26, 1987 - July 29, 1989
THOMSON MCKINNON SECURITIES INC.
October 10, 1983 - May 13, 1987
UBS FINANCIAL SERVICES INC.
December 19, 1979 - July 1, 1983
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
