Mark E. 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.
Mark Earl Fields, who also goes by Mark E Fields, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 10 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2006 - December 31, 2018
ESTATEMARK FINANCIAL, INC.
May 10, 2005 - June 28, 2006
QA3 FINANCIAL LLC
May 10, 2005 - June 28, 2006
QA3 FINANCIAL CORP.
April 15, 2004 - March 31, 2005
WORTH FINANCIAL GROUP INC.
February 23, 2004 - April 20, 2004
LEGACY FINANCIAL SERVICES, INC.
January 2, 2002 - February 11, 2004
WORTH FINANCIAL GROUP INC.
January 2, 2001 - December 12, 2001
USALLIANZ SECURITIES, INC.
April 28, 2000 - December 31, 2000
LEGACY FINANCIAL SERVICES, INC.
September 15, 1998 - April 27, 2000
SECURITIES AMERICA, INC.
June 12, 1997 - September 23, 1998
SECURITIES SERVICE NETWORK, LLC
August 15, 1995 - June 11, 1997
SUNAMERICA SECURITIES, INC.
March 27, 1991 - August 23, 1995
WOODBURY FINANCIAL SERVICES, INC.
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
ESTATEMARK FINANCIAL, INC.
CRD#: 140364 / SEC#:
Contact information
Red Flags
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.
