Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Shields is a financial advisor with Mesirow Financial, Inc. James has over 20 years of experience in the financial services industry. James is a registered representative of Mesirow Financial, Inc. and holds the Series 4, 7, 24, 52 and 63 licenses. James is also a Registered Options Principal and a General Securities Principal. James is registered with the state of Illinois.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
IL
06/02/2022 - Present
Mesirow Financial, Inc. (CHICAGO IL)
IL
09/26/2017 - 04/18/2022
FORESIDE FUND SERVICES, LLC (Chicago IL)
IL
03/19/2004 - 08/10/2011
CALAMOS FINANCIAL SERVICES LLC (NAPERVILLE IL)
IL
09/19/2002 - 03/15/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
IL
07/27/1999 - 09/12/2002
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MI
08/06/1997 - 04/12/1999
OLDE DISCOUNT CORPORATION (DETROIT MI)
BC
Issued 01/10/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/2001
Series 4 - Registered Options Principal Examination
BC
Issued 12/10/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/05/1997
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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