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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-10-02
IL RA APPROVED 2023-09-05
  • TX RA
    APPROVED_RES
    Since 2023-10-02
  • IL RA
    APPROVED
    Since 2023-09-05

Branch Locations

10 South Riverside Plaza, Chicago, IL 60606 • United States

Lockport, IL • 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
Edward Jones Lockport IL 07/2019 08/2020
Lupo Securities Chicago IL 02/2016 07/2017
Lockport High School Lockport IL 08/2017 07/2019
Charles Schwab & Co., Inc. Chicago IL 09/2020 10/2021
Robinhood Financial, Llc Chicago IL 11/2021 06/2022
E*Trade Securities Llc Chicago IL 06/2022 Present
E*Trade Capital Management Llc Chicago IL 06/2022 Present
Morgan Stanley Chicago IL 03/2023 Present
Morgan Stanley Chicago IL 09/2023 Present
Morgan Stanley Chicago IL 09/2023 Present
  • 07/2019 → 08/2020
    Lockport, IL
  • 02/2016 → 07/2017
    Lupo Securities
    Chicago, IL
  • 08/2017 → 07/2019
    Lockport High School
    Lockport, IL
  • 09/2020 → 10/2021
    Chicago, IL
  • 11/2021 → 06/2022
    Robinhood Financial, Llc
    Chicago, IL
  • 06/2022 → Present
    E*Trade Securities Llc
    Chicago, IL
  • 06/2022 → Present
    E*Trade Capital Management Llc
    Chicago, IL
  • 03/2023 → Present
    Chicago, IL
  • 09/2023 → Present
    Chicago, IL
  • 09/2023 → Present
    Chicago, IL
Previous Registrations
  • 2022-06-15 → 2023-09-05
    Harrisdirect Llc
    Arlington, VA
    Chicago, IL
  • 2020-09-22 → 2021-11-14
    Chicago, IL
  • 2019-09-16 → 2020-08-14
    St Louis, MO
    Lockport, IL
    Lockport, IL
    Lockport, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-14
  • S66 Uniform Combined State Law Examination
    2019-09-14
Other Names
  • Walter Thomas Shields
  • Walter Shields

View on SEC IAPD

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