Individual Firm
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CHRISTOPHER PERRY SHIELDS
CHRIS SHIELDS
CRD#: 2604182
IA
B
WELLS FARGO ADVISORSCRD#: 19616 150 N RADNOR-CHESTER RD
STE A100
WAYNE, PA 19087
STE A100
WAYNE, PA 19087
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11/14/2019
Customer Dispute
Settled
State Registrations
B
Alabama 2/18/2022
B
New Jersey 10/1/1999
B
California 10/1/1999
B
New York 6/29/2007
B
Florida 10/1/1999
B
North Carolina 2/9/2015
B
Georgia 11/22/2004
B
Ohio 5/20/2015
B
Illinois 12/15/2022
B
Pennsylvania 10/1/1999
B
Maine 3/4/2015
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Pennsylvania 11/14/2002
B
Maryland 10/1/1999
B
Texas 6/29/2007
B
Massachusetts 8/3/2015
B
Vermont 1/29/2021
B
Michigan 8/8/2021
B
Virginia 10/1/1999
B
Missouri 1/17/2017
B
Wisconsin 1/2/2018
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/6/1996
B
Registered with this firm since 10/1/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/09/1995 - 10/01/1999 | CHARLOTTE, NC | |
B | 04/18/1995 - 10/13/1995 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.