Thomas 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.
Thomas Willon Fields, who also goes by Thomas Willonn Fields, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2014 - June 23, 2014
SOHO FINANCIAL SERVICES LLC
July 18, 2012 - July 19, 2018
FMB RETIREMENT SERVICES
May 25, 2005 - July 2, 2012
INDEPENDENT FINANCIAL GROUP, LLC
February 22, 2005 - July 19, 2018
FMB WEALTH MANAGEMENT
October 4, 2002 - May 25, 2005
FINANCIAL WEST GROUP
November 16, 1998 - November 15, 2002
SENTRA SECURITIES CORPORATION
May 15, 1996 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
July 29, 1993 - May 30, 1996
QUEST SECURITIES, INC.
July 31, 1989 - August 11, 1993
IDS LIFE INSURANCE COMPANY
July 31, 1989 - August 11, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
June 24, 1986 - August 10, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOHO FINANCIAL SERVICES LLC
CRD#: 142510 / SEC#: 801-79526
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 1,300,000 |
Red Flags
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