Clifford L. 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.
Clifford Lee Fields was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1972. Clifford had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
February 23, 2016 - September 25, 2017
MOLONEY SECURITIES ASSET MANAGEMENT LLC
February 9, 2012 - April 27, 2016
MOLONEY SECURITIES CO., INC.
January 3, 2012 - September 25, 2017
MOLONEY SECURITIES CO., INC.
March 4, 2000 - November 23, 2011
UBS FINANCIAL SERVICES INC.
March 3, 2000 - November 23, 2011
UBS FINANCIAL SERVICES INC.
August 25, 1989 - March 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 13, 1978 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
November 17, 1972 - June 30, 1978
REINHOLDT & GARDNER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 2/16/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/16/1981
Interest Rate Options ExaminationSeries 1
Date: 11/4/1972
Registered Representative ExaminationSeries 40
Date: 10/8/1977
Registered Principal ExaminationSeries 12
Date: 9/26/1977
NYSE Branch Manager ExaminationCurrent Firm
MOLONEY INVESTMENT ADVISORY LLC
CRD#: 282140 / SEC#: 801-107025
Contact information
Red Flags
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