Charles H. Field
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.
Charles Henry Field, who also goes by Charlie Field Jr, Chuck Field Jr, Hank Field Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4, Series 8 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
July 21, 2010 - February 8, 2013
ALLIANZ GLOBAL INVESTORS U.S. LLC
April 1, 2010 - February 8, 2013
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
October 19, 1999 - January 3, 2011
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
July 29, 1996 - April 15, 2010
NICHOLAS-APPLEGATE SECURITIES LLC
May 8, 1995 - July 16, 1996
EDGEWOOD SERVICES, INC.
December 6, 1994 - July 8, 1996
SOUTHPOINTE DISTRIBUTION SERVICES INC.
July 6, 1992 - July 8, 1996
FEDERATED SECURITIES CORP.
April 29, 1987 - October 21, 1991
UNIFIED FINANCIAL SECURITIES, LLC
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 8
Date: 12/1/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLIANZ GLOBAL INVESTORS U.S. LLC
CRD#: 149003 / SEC#: 801-69803
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 4,976,389,140 |
Red Flags
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