William H. Fields

SHADOW WEALTH MANAGEMENT

LEXINGTON, SC

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CRD#: 1966739

Professional summary

William Holten Fields, who also goes by Jai Fields, is a registered financial advisor currently at SHADOW WEALTH MANAGEMENT, LLC located in Lexington, South Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. William has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jai Fields

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SHADOW WEALTH MANAGEMENT, LLC ; INVESTMMENT RELATED ; 100 OLD CHEROKEE ROAD ; SUITE F, LEXINGTON, SC 29072 ; REGISTERED INVESTMENT ADVISOR, CEO/CCO & OWNER ; 2ND QUARTER 2018,160 HOURS PER MONTH; 6 HOURS DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Holten Fields's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 25, 2018 - Present

SHADOW WEALTH MANAGEMENT, LLC

RIA

CRD#: 297588

LEXINGTON, SC

Past

November 30, 2021 - October 1, 2025

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

October 26, 2017 - December 11, 2018

INTERCAROLINA FINANCIAL SERVICES, INC.

RIA

CRD#: 19475

LEXINGTON, SC

Past

November 30, 2009 - August 12, 2021

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

November 20, 2008 - March 3, 2009

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

August 20, 2007 - June 25, 2008

FIRST CITIZENS SECURITIES CORPORATION

CRD#: 140161

COLUMBIA, SC

Past

September 26, 2005 - March 14, 2007

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

September 22, 2005 - March 14, 2007

MANNING & NAPIER ADVISORS, LLC

RIA

CRD#: 105992

LEXINGTON, SC

Past

January 16, 2004 - October 14, 2005

FISHER INVESTMENTS

RIA

CRD#: 107342

LEXINGTON, SC

Past

June 26, 2000 - December 31, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

September 15, 1997 - June 27, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 19, 1989 - September 18, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/4/2021)

IAR

South Carolina
(6/28/2018)

IAR

Texas
(6/25/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/3/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/28/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/14/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/18/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SHADOW WEALTH MANAGEMENT, LLC

CRD#: 297588 / SEC#:

Florida

Registered Investment Advisory firm - (11/4/2021 Approved)

South Carolina

Registered Investment Advisory firm - (6/28/2018 Approved)

Texas

Registered Investment Advisory firm - (6/19/2018 Conditional Restricted)

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Contact information

Main Address

Lexington, SC

Mailing Address

Phone number

(803) 807-0356

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 15,406,853

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

William H. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Holten Fields's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERCAROLINA FINANCIAL SERVICES, INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

SOUTHEAST INVESTMENTS, N.C., INC.

FIRST CITIZENS SECURITIES CORPORATION

MANNING & NAPIER INVESTOR SERVICES, INC.

MANNING & NAPIER ADVISORS, LLC

FISHER INVESTMENTS

OSAIC FS, INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2016

Series 65

Date: 9/28/1994

Series 63

Date: 9/11/1989

SIE

Date: 10/1/2018

Series 3

Date: 7/14/1992

Series 7

Date: 9/16/1989

Series 24

Date: 12/11/2000

Series 8

Date: 12/18/1993

Current Firm

SHADOW WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHADOW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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