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Carolyn Shields

Chief Financial Officer at Christian Brothers Investment Services

No current adviser or broker registrationSEC record checked 18 October 2026

0
Past adviser firms
1
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Carolyn Shields is Chief Financial Officer of Christian Brothers Investment Services, Inc., a Chicago investment adviser managing $11.9B. Carolyn Shields has passed the Series 27.

Role at Christian Brothers Investment Services

Title on Schedule A
Chief Financial Officer
Control
Carolyn Shields is a control person of Christian Brothers Investment Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Carolyn Shields has held the filed role since March 2024.

The firm

Christian Brothers Investment Services, Inc.
Chicago, IL

Form ADV filed 26 March 2026

$11.9B AUM1 clients3 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 27 · 2020

Registrations and exams

No current adviser or broker registration. Carolyn Shields has passed 1 qualifying exam.

Examinations

Series 2727 June 2020
Name
Financial and Operations Principal Examination

Individual record

Full name
Carolyn Ann Shields
CRD
5668390
Firm
Christian Brothers Investment Services, Inc.
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Carolyn Shields work?

Carolyn Shields has been Chief Financial Officer of Christian Brothers Investment Services, Inc. since March 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 26 March 2026

Does Carolyn Shields have a current investment-adviser registration?

Carolyn Shields has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Carolyn Shields passed?

Carolyn Shields passed the Series 27 in June 2020.

Source: IAPD individual record, checked 18 October 2026

Leadership at Christian Brothers Investment Services

Sources

  1. IAPD individual record, CRD 5668390. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Christian Brothers Investment Services, Inc., filed 26 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Carolyn Shields or Christian Brothers Investment Services, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.