SHIELDS CAPITAL CORPORATION
CRD #11053 SEC #801-56498 NEW YORK, NY 212-320-3000
SEC Registered Broker-Dealer
Total AUM
$30.9M
Discretionary
$30.9M
Employees
--
Clients
0
Accounts
26
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CURCURU, PHILIP MICHAEL | I | CHIEF OPERATIONS OFFICER | NA | |
| CURCURU, PHILIP MICHAEL | I | CFO | NA | |
| CURCURU, PHILIP MICHAEL | I | CHIEF OPERATIONS OFFICER | NA | |
| CURCURU, PHILIP MICHAEL | I | CFO | NA | |
| CURCURU, PHILIP MICHAEL | I | CHIEF OPERATIONS OFFICER | NA | |
| CURCURU, PHILIP MICHAEL | I | CFO | NA | |
| CURCURU, PHILIP MICHAEL | I | CHIEF OPERATIONS OFFICER | NA | |
| CURCURU, PHILIP MICHAEL | I | CFO | NA | |
| CURCURU, PHILIP MICHAEL | I | CHIEF OPERATIONS OFFICER | NA | |
| CURCURU, PHILIP MICHAEL | I | CFO | NA | |
| HUGHES, JOHN PATRICK | I | VICE PRESIDENT | NA | Control |
| HUGHES, JOHN PATRICK | I | VICE PRESIDENT | NA | Control |
| HUGHES, JOHN PATRICK | I | VICE PRESIDENT | NA | Control |
| HUGHES, JOHN PATRICK | I | VICE PRESIDENT | NA | Control |
| HUGHES, JOHN PATRICK | I | VICE PRESIDENT | NA | Control |
| HUGHES, JOHN PATRICK JR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KEEP, BRIAN HUDSON | I | VICE PRESIDENT | NA | Control |
| KEEP, BRIAN HUDSON | I | VICE PRESIDENT | NA | Control |
| KEEP, BRIAN HUDSON | I | VICE PRESIDENT | NA | Control |
| KEEP, BRIAN HUDSON | I | VICE PRESIDENT | NA | Control |
| KEEP, BRIAN HUDSON | I | VICE PRESIDENT | NA | Control |
| KEEP, BRIAN HUDSON | I | VICE PRESIDENT | NA | Control |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MEYER, CHRISTOPHER FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RANSOM, ROBERT EDWIN | I | VICE PRESIDENT | NA | Control |
| SCARPA, RALPH JOSEPH | I | SECRETARY | NA | Control |
| SCARPA, RALPH JOSEPH | I | SECRETARY & MANAGING DIRECTOR | NA | Control |
| SCARPA, RALPH JOSEPH | I | SECRETARY | NA | Control |
| SCARPA, RALPH JOSEPH | I | MANAGING DIRECTOR | NA | Control |
| SCARPA, RALPH JOSEPH | I | SECRETARY | NA | Control |
| SCARPA, RALPH JOSEPH | I | MANAGING DIRECTOR | NA | Control |
| SCARPA, RALPH JOSEPH | I | SECRETARY | NA | Control |
| SCARPA, RALPH JOSEPH | I | MANAGING DIRECTOR | NA | Control |
| SCARPA, RALPH JOSEPH | I | MANAGING DIRECTOR | NA | Control |
| SCARPA, RALPH JOSEPH | I | MANAGING DIRECTOR | NA | Control |
| SCARPA, RALPH JOSEPH | I | SECRETARY | NA | Control |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | |
| VANCLEVE, KEVIN PATRICK | I | MSRB PRINCIPAL | NA | |
| ZOCK, JOSEPH ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| ZOCK, JOSEPH ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| ZOCK, JOSEPH ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| ZOCK, JOSEPH ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| ZOCK, JOSEPH ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| ZOCK, JOSEPH ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| SHIELDS, JOSEPH VINCENT | I | PRESIDENT | D | Control |
| SHIELDS, JOSEPH VINCENT | I | PRESIDENT | D | Control |
| SHIELDS, JOSEPH VINCENT | I | PRESIDENT | D | Control |
| SHIELDS, JOSEPH VINCENT | I | PRESIDENT | D | Control |
| SHIELDS, JOSEPH VINCENT | I | PRESIDENT | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN & MANAGING DIRECTOR | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN & MANAGING DIRECTOR | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN & MANAGING DIRECTOR | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN & MANAGING DIRECTOR | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN & MANAGING DIRECTOR | D | Control |
| SHIELDS, JOSEPH VINCENT JR | I | CHAIRMAN & MANAGING DIRECTOR | D | Control |
| SHIELDS, DAVID VINCENT | I | PRESIDENT & MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | PRESIDENT & MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | PRESIDENT & MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | PRESIDENT & MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | PRESIDENT & MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | MANAGING DIRECTOR | B | Control |
| SHIELDS, DAVID VINCENT | I | PRESIDENT & MANAGING DIRECTOR | B | Control |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (3)
FL GA NY
Address
140 BROADWAY,44TH FLOORNEW YORK, NY 10005
United States
Phone: 212-320-3000