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Mark Earl Fields

CRD# 2113450·Registered 1991 - 2018
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Earl Fields, who also goes by Mark E Fields, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1991 - 2018. Mark had worked at 10 firms and has passed the Series 63, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark E Fields

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

ESTATEMARK FINANCIAL, INC.·CRD# 140364
RIA
Colleyville, TX
June 21, 2006 - December 31, 2018
QA3 FINANCIAL LLC·CRD# 104957
RIA
No Richland Hills, TX
May 10, 2005 - June 28, 2006
QA3 FINANCIAL CORP.·CRD# 14754
BD
No Richland Hills, TX
May 10, 2005 - June 28, 2006
WORTH FINANCIAL GROUP INC.·CRD# 13478
BD
Dallas, TX
April 15, 2004 - March 31, 2005
LEGACY FINANCIAL SERVICES, INC.·CRD# 38697
BD
Petaluma, CA
February 23, 2004 - April 20, 2004
WORTH FINANCIAL GROUP INC.·CRD# 13478
BD
Dallas, TX
January 2, 2002 - February 11, 2004
USALLIANZ SECURITIES, INC.·CRD# 40875
BD
Minneapolis, MN
January 2, 2001 - December 12, 2001
LEGACY FINANCIAL SERVICES, INC.·CRD# 38697
BD
Petaluma, CA
April 28, 2000 - December 31, 2000
SECURITIES AMERICA, INC.·CRD# 10205
BD
Lavista, NE
September 15, 1998 - April 27, 2000
SECURITIES SERVICE NETWORK, LLC·CRD# 13318
BD
Knoxville, TN
June 12, 1997 - September 23, 1998
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
August 15, 1995 - June 11, 1997
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
March 27, 1991 - August 23, 1995

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Current Firm

EF
ESTATEMARK FINANCIAL, INC.

ESTATEMARK FINANCIAL, INC.

CRD#: 140364

Contact Information

Main Address

4603 Colleyville Blvd., Ste. 100, Colleyville, TX 76034

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1991About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 1991About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Nov 1995About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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