Douglas M. 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.
Douglas Michael Shields, who also goes by Doug Shields, Douglas M Shields, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1980. Douglas had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2010 - December 31, 2016
VARIABLE INVESTMENT ASSOCIATES, INC.
February 9, 2002 - November 2, 2010
PARKLAND SECURITIES, LLC
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
March 31, 1989 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
July 18, 1986 - April 14, 1989
WESCO SECURITIES, INC.
July 24, 1984 - September 23, 1985
AMERITAS INVESTMENT COMPANY, LLC
October 20, 1980 - March 6, 1984
EQUITABLE ADVISORS, LLC
June 11, 1980 - March 6, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 1
Date: 5/31/1980
Registered Representative ExaminationCurrent Firm
VARIABLE INVESTMENT ASSOCIATES, INC.
CRD#: 44412 / SEC#: , 8-50699
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
