Harold Gene Shields Jr.

LPl Financial LLC

Claim This Profile

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2011-04-21

TX RA
APPROVED

Since 2011-04-21

Branch Locations

7800 Preston Road, Suite 105, Plano, TX 75024 • United States

Richardson, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Richardson	TX	04/2011	Present

04/2011 → Present

Lpl Financial Llc

Richardson, TX

Previous Registrations

2007-02-13 → 2011-04-26

Edward Jones

Wylie, TX

Richardson, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-02
S63	Uniform Securities Agent State Law Examination	2001-11-08

S66 Uniform Combined State Law Examination

2007-02-02
S63 Uniform Securities Agent State Law Examination

2001-11-08

Other Names

Hal Shields
Harold Gene Shields
Harold Gene Shields
Hal Gene Shields

View on SEC IAPD

Other Firms

VANGUARD ADVISERS, INC.

BBAE ADVISORS LLC

CAISHEN FINANCIAL

EVERGREEN WEALTH ADVISORS

KICKING HORSE INVESTMENT MANAGEMENT, LLC

Other Investors

John Wayne Purvis

Guy Rene Mondjii

GREGORY THOMAS HANSEN

CLAYBORN PAUL MCCLINTON

BRIAN Michael STRANGE

Seth Gregory Downing

GEORGE ALBERT CENTENO

ERIC RAY FRANCIS

Other Offices

VANGUARD ADVISERS, INC. · PLANO, TX

VANGUARD ADVISERS, INC. · PLANO, TX

VANGUARD ADVISERS, INC. · Plano, TX

VANGUARD ADVISERS, INC. · Plano, TX

VANGUARD ADVISERS, INC. · Plano, TX

TTFCM LLC · PLANO, TX

BBAE ADVISORS LLC · PLANO, TX

PARADIGM GROUP · PLANO, TX

More in Plano, TX

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor