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Nathan D. Shields

Raymond James & Associates, Inc.

Carmel, IN

Carmel, IN

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-20
IN RA APPROVED 2018-08-03
  • TX RA
    APPROVED
    Since 2023-11-20
  • IN RA
    APPROVED
    Since 2018-08-03

Branch Locations

11611 N Meridian St Ste 600, Carmel, IN 46032-7118 • United States

Carmel, IN • 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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Indianapolis IN 10/2012 08/2018
Raymond James & Associates Indianapolis IN 08/2018 Present
Previous Registrations
  • 2012-10-01 → 2018-08-14
    J.P. Morgan Securities Llc
    Indianapolis, IN
    Carmel, IN
  • 2011-06-06 → 2012-10-01
    Chase Investment Services Corp.
    Carmel, IN
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-03
S63 Uniform Securities Agent State Law Examination 2008-05-09
  • S65 Uniform Investment Adviser Law Examination
    2011-06-03
  • S63 Uniform Securities Agent State Law Examination
    2008-05-09
Designations
Other Names
  • Nathan D Shields

View on SEC IAPD

Other Firms

VALIC FINANCIAL ADVISORS, INC.
OPPENHEIMER ASSET MANAGEMENT
ONEAMERICA SECURITIES, INC.
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
WILLIAMSON LEGACY GROUP, LLC

Other Investors

ADAM TREVOR BUNDAY
GARY MICHAEL BRIDWELL
DAKOTA A BUNDAY
CHRISTOPHER JOHN ROUTT
DAVID STEWART LANE WEIR
CATHERINE HARSTICK
BRYAN DAVID KLEMM
TODD ALAN BIEBERICH

Other Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN
LPL FINANCIAL LLC · CARMEL, IN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Carmel, IN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CARMEL, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Carmel, IN
WILLIAMSON LEGACY GROUP, LLC · Carmel, IN

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