Unclaimed Profile

James Matthew Shields

TOWLE & CO·DENVER, Colorado

Series 3Clean record11 years registeredTOWLE & CO

50 S. STEELE STREET, DENVER, CO 80209CRD# 6486927Firm CRD# 110862

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Matthew Shields · DENVER, CO

Registration

CRD #6486927 · TOWLE & CO · 11 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: TOWLE & CO

TOWLE & CO

May 2015 – Jun 2026

DENVER, CO

Registrations & Exams

FINRA examinations passed

Series 3

Registration record

First registered · May 15, 2015

Years registered · 11

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TOWLE & CO

CRD 110862 · SEC 801-16622

AUM

$879M

Regulatory assets under management

Employees

82 client accounts

Services offered by TOWLE & CO

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at TOWLE & CO →

Introduction

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Frequently Asked Questions

What services does James Matthew Shields offer?

James Matthew Shields specializes in Investment Management, Retirement Planning, Wealth Management.

What are James Matthew Shields's credentials?

James Matthew Shields is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Matthew Shields located?

James Matthew Shields is based in DENVER, Colorado, last registered with TOWLE & CO.

How does James Matthew Shields charge for services?

James Matthew Shields's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TOWLE & CO?

TOWLE & CO has approximately 10 employees and manages $879M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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