James Shields has been an investment adviser representative at Guardian Capital since February 2012, and is not listed among the firm’s executive officers or direct owners. James Shields holds a Juris Doctor from Notre Dame Law School. James Shields studied St. Francis College of Loretto at Pennsylvania.
Guardian Capital, LLC is a Wexford, PA firm with $128M under management, 241 clients and 4 advisers in one office, as of its February 2026 filing.
James P. Shields is an Investment Adviser Representative of Guardian Capital, LLC. He is an elder law attorney and a principal of The Elder Law Offices of Shields and Boris.
- Guardian Capital, LLCCurrent– present · 14 yearsWexford, PA · Adviser representative · Firm CRD 156015
Investment adviser representative registrations
James Shields is registered as an investment adviser representative in Pennsylvania, since February 2012.
- PennsylvaniaSince 16 February 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 13 May 2005 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 May 2005 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Patrick Shields
- CRD
- 4890398
- Firm
- Guardian Capital · CRD 156015
- Office
- 109 VIP DRIVE, Wexford, PA 15090
- Registration
- Investment adviser registration
- In the industry since
- February 2012
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- guardiancapitalllc.com
Where does James Shields work?
James Shields is an investment adviser representative registered through Guardian Capital, LLC since February 2012, and is not listed among the firm’s executive officers or direct owners.
Is James Shields a financial advisor?
Yes. James Shields has a current investment-adviser registration in Pennsylvania, through Guardian Capital since February 2012.
How many years of experience does James Shields have?
James Shields has 14 years in the financial industry, since February 2012, across 1 adviser firm.
What exams has James Shields passed?
James Shields has passed 2 licensing exams: the Series 6 and Series 63. The earliest, the Series 6, was passed in May 2005.
Where is James Shields based?
James Shields’ registered office is in Wexford, PA.
Is James Shields registered with FINRA?
No. James Shields has no current broker registration.
How can I verify James Shields’ record?
Search CRD 4890398 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Shields’ full registration record.