Lucinda
Shields

Stifel, Nicolaus & Company, Inc

CRD#1070102
Investment Advisor
in Columbia, SC
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About this Advisor

Lucinda Shields is a certified financial planner in Columbia, South Carolina. Currently a registered financial advisor at Stifel, Nicolaus & Company, Inc, they have accumulated 18 years of professional experience as a registered investment advisor. Shields holds Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative. Shields is able to act as an advisor based out of South Carolina and Texas. Throughout their career, they have worked at Stifel Nicolaus & Co Inc and Ubs Financial Services Inc. Stifel, Nicolaus & Company, Inc is based out of Columbia, South Carolina, and operates out of 362 additional locations in the United States. In aggregate, Stifel, Nicolaus & Company, Inc manages $72 billion in assets throughout 188,394 client accounts and employs more than 5,570 people. The amount of assets the firm manages places it among the largest financial advisory firms in the nation. The firm manages 123,069 accounts on a discretionary basis, in which the advisor makes all of the buying and selling decisions on the client's behalf. Currently 24% of the investment firm's investors are high-net-worth individuals, meaning they have more than $1 million in assets. Stifel, Nicolaus & Company, Inc provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services and selection of other advisers. The firm may charge clients asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

18 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

Yes

Office Location

1901 Assembly Street Suite 250
Columbia, SC 29201

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Stifel, Nicolaus & Company, Inc Brokerage Details

Total Assets Under Management

$71,482,841,447

SC Average: $11,469,110,461
Total Number of Employees

5,570

SC Average: 458
Total Number of Accounts

188,394

SC Average: 33,415

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers

Lucinda Shields Work History

Lucinda has 18 years of experience.

2014 - Present (4 years)

Stifel Nicolaus & Co Inc

2000 - 2014 (14 years)

Ubs Financial Services Inc

Disclosures

Lucinda Shields has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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