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James Philip Shields

AVIVA INVESTORS AMERICAS LLC·CHICAGO, Illinois
SIE, Series 4, Series 7, Series 24, Series 52, Series 63Clean recordAVIVA INVESTORS AMERICAS LLC
225 WEST WACKER DRIVE, CHICAGO, IL 60606CRD# 2927398Firm CRD# 163989

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Philip Shields · CHICAGO, IL
Registration
CRD #2927398 · AVIVA INVESTORS AMERICAS LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 4
Series 7
Series 24
Series 52
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
AVIVA INVESTORS AMERICAS LLC
CRD 163989 · SEC 801-76637
AUM
$59M
Regulatory assets under management
Employees
3
1 client accounts
Services offered by AVIVA INVESTORS AMERICAS LLC
Per Form ADV
Portfolio management (pooled investments)
Client types served by the firm
Per Form ADV
Institutional Investors
View all advisors at AVIVA INVESTORS AMERICAS LLC →
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Frequently Asked Questions

What services does James Philip Shields offer?
James Philip Shields specializes in Investment Management, Fee-Only Advisory. Contact their office in CHICAGO, Illinois for a consultation.
What are James Philip Shields's credentials?
James Philip Shields is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Philip Shields located?
James Philip Shields is based in CHICAGO, Illinois, working with AVIVA INVESTORS AMERICAS LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.
How does James Philip Shields charge for services?
James Philip Shields's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is AVIVA INVESTORS AMERICAS LLC?
AVIVA INVESTORS AMERICAS LLC has approximately 3 employees and manages $59M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at AVIVA INVESTORS AMERICAS LLC

Robert Arthur Ranges
CHICAGO, IL
Brent N. Finck
CHICAGO, IL
CFA
Thomas Alan Meyers
CHICAGO, IL

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