Daniel F. Fields

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CRD#: 2230217

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.

Daniel Frederick Fields, who also goes by Dan Fields, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan 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.

1)PACIFIC RIM FINANCIAL GROUP DBA MCKAY WEALTH MANAGEMENT,YES,6000 SOUTHCENTER BLVD STE 70, TUKWILA, WA 98188, FINANCIAL SERVICES, ADMIN, 01/30/2008, 160, 160, ADMIN, ASSIST WITH CLIENTS 2)OLD GOAT BARBEQUE SOCIETY, LLC., NO, 6355 NE 194, KENMORE, WA 98028, CATERING, NON-MANAGING MEMBER, LEAD CHEF, 03/01/2012, 40, 0, CATER MEALS FOR PRIVATE PARTIES AND CIVIC FUNCTIONS.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

December 6, 2016 - March 29, 2023

OLIVER CAPITAL MANAGEMENT

RIA

CRD#: 127606

SEATTLE, WA

Past

September 6, 2007 - October 10, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TUKWILA, WA

Past

October 31, 2006 - October 10, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TUKWILA, WA

Past

May 2, 2005 - September 8, 2006

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

April 26, 2001 - April 18, 2005

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 30, 2000 - March 27, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

October 26, 1992 - December 22, 2000

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OLIVER CAPITAL MANAGEMENT

OLIVER CAPITAL MANAGEMENT | OLIVER CAPITAL MANAGEMENT, LLC | OLIVER CAPITAL MANAGEMENT, INC.

CRD#: 127606 / SEC#: 801-67157

RIA

Registered Investment Advisory firm - (9/27/2006 Approved)

Washington

Registered Investment Advisory firm - (10/3/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/2/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OLIVER CAPITAL MANAGEMENT

OLIVER CAPITAL MANAGEMENT | OLIVER CAPITAL MANAGEMENT, LLC | OLIVER CAPITAL MANAGEMENT, INC.

CRD#: 127606 / SEC#: 801-67157

RIA

Registered Investment Advisory firm - (9/27/2006 Approved)

Washington

Registered Investment Advisory firm - (10/3/2006 Terminated)

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Contact information

Main Address

601 Union Street Suite 3010, Seattle, WA 98101-4036

Mailing Address

Phone number

(206) 775-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OLIVER CAPITAL MANAGEMENT, ADV PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,717
AUM (Assets Under Management)	$ 422,343,530

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Daniel F. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

ONEAMERICA SECURITIES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

OLIVER CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2007

Series 65

Date: 12/15/1999

Series 63

Date: 10/26/1992

SIE

Date: 10/10/2016

Series 7

Date: 7/21/1998

Series 6

Date: 10/22/1992

Current Firm

OLIVER CAPITAL MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLIVER CAPITAL MANAGEMENT

TRUST BUT VERIFY

Contact information

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