# SHIELDS CAPITAL CORPORATION

SHIELDS CAPITAL CORPORATION of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 11053
- Type: SEC-registered investment adviser
- SEC file number: 801-56498
- Location: 140 BROADWAY, NEW YORK, NY, 48075
- Phone: 212-320-3000
- Latest filing: 2010-12-13
- Regulatory AUM: $26.0M
- Discretionary AUM: $26.0M
- Clients: 11
- Accounts: 16

## Officers, owners & control persons (11)

| Name | Role | Location |
| --- | --- | --- |
| ZOCK JR ROBERT ANTHONY | MANAGING DIRECTOR | — |
| SHIELDS DAVID VINCENT | MANAGING DIRECTOR; PRESIDENT; PRESIDENT & MANAGING DIRECTOR | — |
| SCARPA RALPH JOSEPH | MANAGING DIRECTOR; SECRETARY; SECRETARY & MANAGING DIRECTOR | — |
| MEYER CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| HUGHES WILLIAM FRIERSON JR | CHIEF COMPLIANCE OFFICER | — |
| HUGHES BRENDAN PATRICK | VICE PRESIDENT | — |
| KEEP BRIAN HUDSON | VICE PRESIDENT | — |
| CURCURU PHILIP MICHAEL | CFO; CHIEF OPERATIONS OFFICER | — |
| SHIELDS JOSEPH VINCENT JR | CHAIRMAN & MANAGING DIRECTOR | — |
| VANCLEVE KEVIN PATRICK | MSRB PRINCIPAL | — |
| RANSOM ROBERT EDWIN | VICE PRESIDENT | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/11053/brochure
- Similar advisers: https://search.stillhousedata.com/firm/11053/similar
- Related entities: https://search.stillhousedata.com/firm/11053/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/11053

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.