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Investment Services
Shields & Company offers a wide range of financial products and services for both retail and institutional investors. We utilize two seats on the New York Stock Exchange and all our transactions are executed through our own trading desk in New York.
As part of our commitment to providing quality service, we have formed a
strategic business alliance with one of the nation’s leading brokerage
clearing institutions First Clearing Corporation. This relationship
brings us the benefit of a firm with a long heritage in the full-service
brokerage business and the strength of being affiliated with Wachovia, the
fourth-largest bank holding company in America. This relationship, coupled with our in house expertise, opens the door to a vast universe of products and support for our Investment Representatives to offer their clients:
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Stock
Portfolio Advice
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Government
Bonds
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Corporate
& Municipal Bonds
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Mutual
Funds and Unit Investment Trusts
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Insurance
Products & Annuities
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Financial
Planning Services
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Pension
Plans/ Employee Benefits
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IRA/
ROTH IRA
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Initial
Public Offerings (IPOs)
Retail Services
 Working with your Shields Investment Representative you have the option of participating in the daily management of your account(s) or authorizing your Investment Representative to make decisions for you. In addition, through Shields & Company investment advisory services, we offer various managed products such as a wrap fee accounts (inclusive of all costs) or an advisory fee arrangement. You can select from a wide range of vehicles including stocks, bonds, mutual funds, government securities, international investments, and real estate investment trust to fund your portfolio. All transactions are executed through Shields own trading desk ensuring immediate and efficient processing of your orders.
To complement our traditional investment services, we also offer cash management services that feature money market funds with competitive interest rates and check writing privileges.
Each month, you will receive a comprehensive statement of your account activity and the securities you own. Your statement may also contain periodic announcements and updates to keep you apprised of new products and recent market events.
For more information about our retail service please complete the contact us form, or call our offices.
Institutional Services
 To fulfill its fiduciary responsibility, Shields & Company has endeavored to remove any conflicts of interest in its execution process. We are an advocate for our customers in our role as an agent on one side. Shields does not trade against order flow. The primary objective is to achieve the best-realized price for our customers' orders while retaining utmost confidentiality. This minimizes market impact and provides superior executions particularly in more difficult or less liquid stocks.
Our institutional clients have the option of having direct access to the floor of the New York Stock Exchange or they may communicate through our trading desk in New York.
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execution expertise
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transitional manager
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fiduciary responsibility
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direct communication to you
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confidentiality
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agents one side - we do not shop orders
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step outs
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facilitate research payments to
other broker/dealers
Insurance & Annuity Products
Shields & Company also offers various insurance products through our Sarasota office. In addition to regular brokerage services, this office offers insurance and annuity products, full financial planning, and employee benefits and pension plans.
Insurance products offered include:
Insurance: life insurance, health, long term care, disability and Medicare supplements
Employee Benefits: group health, life, disability, and dental
Pensions: 401k, SEP, simple plans, age weighted plans
Annuities: top fixed and variable annuities
Financial Planning: Full financial plans for individuals and businesses, full estate planning and elder care planning.
For more information regarding our insurance and annuity products, please contact
Brad Tremitiere, at 1-800-950-1181, or email us at Sarasota@shieldsandco.com.
Fixed
Income (Corporate & Municipal Bonds)
Shields & Company 's Bond Division has extensive experience
in analyzing the special needs of income-oriented investors. Our staff has
the expertise to understand and interpret the dynamics that impact and control
our major credit markets. It is our intention to keep clients informed
with intuitive and competent investment advice and to consistently provide
select, quality issues of Municipal, Corporate and Government Bonds. It is
in this manner that Shields & Company provides the services and products
necessary to properly balance the portfolio of each individual investor.
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