Megan L. Fielding
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.
Megan Lynd Fielding, CIMA® was a registered financial professional .
Megan is a previously registered financial professional and started their career in finance in 1987. Megan had worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - September 21, 2022
NUVEEN SECURITIES, LLC
March 7, 2016 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 10, 2009 - March 19, 2014
MICROPLACE, INC.
August 20, 2005 - September 5, 2007
BOFA DISTRIBUTORS, INC.
January 11, 2005 - September 5, 2007
BOFA ADVISORS, LLC
October 13, 2004 - January 10, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 6, 2004 - January 10, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 2003 - August 20, 2005
BACAP DISTRIBUTORS, LLC
June 23, 2000 - July 26, 2002
ROBERTSON STEPHENS, INC.
April 24, 2000 - July 26, 2002
ROBERTSON STEPHENS, INC.
August 1, 1997 - December 31, 1998
MAM SECURITIES, LLC
June 3, 1997 - July 31, 1997
MONTGOMERY SECURITIES
April 6, 1995 - May 20, 1997
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 3, 1994 - March 8, 1995
NEUBERGER BERMAN BD LLC
August 18, 1987 - September 30, 1994
CIBC WORLD MARKETS CORP.
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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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