Steven David Shields

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → Present
  J.P. Morgan Securities Llc
  Mission Viejo, CA
• 06/2010 → Present
  Jpmorgan Chase Bank, Na.
  Mission Viejo, CA

Previous Registrations

• 2010-06-17 → 2012-10-01
  Chase Investment Services Corp.
  Mission Viejo, CA
  Irvine, CA
  Mission Viejo, CA
  Rancho Santa Margarita, CA
• 2008-08-25 → 2010-06-07
  Ameriprise Financial Services, Llc
  Long Beach, CA

Exams

• S66 Uniform Combined State Law Examination
  2008-08-22

Designations

• Certified Financial Planner

Other Names

• Steve David Shields