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BENJAMIN THOMAS SHIELDS
CRD#: 4224857
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10001 Reunion Pl Ste 422
San Antonio, TX 78216-4127
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BHARTFORD FUNDS DISTRIBUTORS, LLC (CRD# 45995)2012 - 2024 (11 years)BHARTFORD LIFE DISTRIBUTORS, LLC (CRD# 8326)2012 - 2012 (<1 year)BPROEQUITIES, INC. (CRD# 15708)2009 - 2012 (2 years)BPLANCO FINANCIAL SERVICES, LLC (CRD# 8326)2007 - 2009 (2 years)BA I M DISTRIBUTORS, INC. (CRD# 7369)2000 - 2001 (<1 year)
License(s)

State Registrations

B
Arizona 9/11/2024

B
Texas 7/10/2024

B
Colorado 9/9/2024

IA
Texas 8/9/2024

B
Delaware 9/11/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127
San Antonio, TX
Registered with this firm since 8/9/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127
San Antonio, TX
Registered with this firm since 7/10/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
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12/03/2012 - 07/17/2024 HARTFORD FUNDS DISTRIBUTORS, LLC (CRD#:45995) WAYNE, PA
B
01/09/2012 - 12/03/2012 HARTFORD LIFE DISTRIBUTORS, LLC (CRD#:8326) HARTFORD, CT
B
10/23/2009 - 02/01/2012 PROEQUITIES, INC. (CRD#:15708) SAN ANTONIO, TX
B
04/13/2007 - 09/18/2009 PLANCO FINANCIAL SERVICES, LLC (CRD#:8326) HARTFORD, CT
B
10/26/2000 - 03/05/2001 A I M DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
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B
Broker
IA
Investment Adviser
Disclosures
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.