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Kevin Alan Shields

Foreside Fund Services, LLC

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About Kevin Alan Shields

Kevin Shields is a securities professional with over 30 years of experience in the financial services industry. Kevin has a broad range of experience in the securities industry, including investment banking, operations, and government securities. Currently, Kevin is a Registered Representative for Foreside Fund Services, LLC. Prior to joining Foreside Fund Services, LLC, Kevin was a Registered Representative for Griffin Capital Securities, LLC. Kevin holds FINRA Series 7, 24, 27, 72, 79, and 99 licenses as well as a Series 63 license. Kevin is registered with the securities regulators of 50 states and the District of Columbia.

Firm Information

Kevin Shields is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Kevin Shields’s Registration & Firm History

CA

05/20/2022 - Present

Foreside Fund Services, LLC (El Segundo CA)

CA

12/07/2020 - 03/30/2022

GRIFFIN CAPITAL SECURITIES, LLC (EL SEGUNDO CA)

CA

07/18/1995 - 12/20/2018

GRIFFIN CAPITAL SECURITIES, LLC (EL SEGUNDO CA)

NY

04/30/1993 - 11/02/1994

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

10/22/1986 - 04/03/1992

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/26/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/27/1995

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/30/1995

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/18/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kevin Alan Shields. Review regulatory record here.
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