Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Michael Shields is a financial professional with over 20 years of experience in the industry. William Michael Shields currently holds registrations with BGC Financial, LP, CF Secured, LLC, Cantor Fitzgerald & Co., FMX Execution, LLC, and GFI Securities LLC. William Michael Shields is a Series 66, 30, 53, 4, 27, 14, 10, 9, 52, 57, 99, SIE, 87, 3 and 55 licensed professional. William Michael Shields is registered in Colorado, Florida, Georgia, Maryland, Minnesota, New Jersey, New York, North Carolina, Ohio, Pennsylvania and Texas.
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
NJ
07/01/2021 - Present
BGC Financial, LP (Iselin NJ)
NY
01/11/2017 - 07/01/2021
SUNRISE BROKERS LLC (NEW YORK NY)
NY
08/10/2018 - 05/27/2020
CFWP SECURITIES, LLC (NEW YORK NY)
NY
06/28/2002 - 12/18/2003
INTER-DEALER BROKERS LLC (NEW YORK NY)
NY
03/09/2002 - 06/27/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
05/15/2000 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BOTH
Issued 04/13/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/14/2008
Series 30 - NFA Branch Manager Examination
BC
Issued 09/20/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/23/2005
Series 4 - Registered Options Principal Examination
BC
Issued 04/11/2003
Series 27 - Financial and Operations Principal Examination
BC
Issued 11/07/2001
Series 14 - Compliance Officer Examination
BC
Issued 08/15/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/07/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/24/2003
Series 3 - National Commodity Futures Examination
BC
Issued 12/04/2001
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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