Jeanelle W. Fields
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeanelle Williams Fields, who also goes by Jeanelle Williams, was a registered financial professional .
Jeanelle is a previously registered financial professional and started their career in finance in 1997. Jeanelle had worked at 1 firm and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1997 - June 5, 2012
DAVIS, MENDEL & REGENSTEIN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 5/24/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DAVIS, MENDEL & REGENSTEIN, INC.
CRD#: 8521 / SEC#: , 8-25605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EII HOLDINGS | SHAREHOLDER | |
| DAVIS, NATHAN EDWARD | SHAREHOLDER/DIRECTOR | |
| ENSOR, PETER RICHARD | DIRECTOR | 5963442 |
| FIELDS, JEANELLE WILLIAMS | FINANCIAL OPERATIONS PRINCIPAL | 1324011 |
| FORDHAM, CHRISTOPHER HENRY COURTAULD | DIRECTOR | 5963440 |
| LANKINEN, ERIC DAVID WAYNE | DIRECTOR | 5963439 |
| REGENSTEIN, JONATHAN KENT | PRESIDENT/SROP/CROP/CCO | 826564 |
| SCHUSTER, ROBERT CLIFTON | DIRECTOR |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
