David L. Fields

D.L. FIELDS ADVISORY GROUP

BENTONVILLE, AR 72712

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CRD#: 2615292

Professional summary

David Laurence Fields is a registered financial advisor currently at D.L. FIELDS ADVISORY GROUP, LLC located in Bentonville, Arkansas and FMG DISTRIBUTORS, INC. located in New Canaan, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 16 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. David L. Fields, Sole Proprietor - SINCE 12/2009, 1202 NE MCclain Rd, Bentonville AR INVESTMENT-RELATED BUSINESS, WHOLESALER/MARKETER/FIXED ANNUITIES & Life Insurance, ALL DURING SECURITIES TRADING. 2. 4/2018 Financial Marketing Group, where I am a Regional Marketing Director doing marketing support for the sale of fixed and variable annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Laurence 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

January 23, 2017 - Present

D.L. FIELDS ADVISORY GROUP, LLC

Office #1: 1202 Ne Mcclain Rd Bldg 7-ste 143, Bentonville, AR 72712

RIA

CRD#: 286216

BENTONVILLE, AR

Current

April 23, 2018 - Present

FMG DISTRIBUTORS, INC.

Office #1: 557 Oenoke Ridge Road, New Canaan, CT 06840

CRD#: 29243

New Canaan, CT

Past

July 14, 2014 - December 31, 2016

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

NEW BOSTON, TX

Past

July 8, 2014 - December 31, 2016

CRD#: 16164

PHILADELPHIA, PA

Past

August 28, 2001 - March 27, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 12, 1999 - November 24, 2000

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

July 24, 1997 - April 26, 1999

FMG DISTRIBUTORS, INC.

CRD#: 29243

NEW CANAAN, CT

Past

November 22, 1995 - March 17, 1997

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Arkansas
(2/3/2017)

IAR

Georgia
(2/24/2022)

IAR

Indiana
(2/8/2017)

IAR

Texas
(1/23/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/7/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

D.L. FIELDS ADVISORY GROUP, LLC

D.L. FIELDS ADVISORY GROUP, LLC | FIELDS, DAVID L.

CRD#: 286216 / SEC#:

Arkansas

Registered Investment Advisory firm - (2/3/2017 Approved)

Georgia

Registered Investment Advisory firm - (2/21/2022 Approved)

Indiana

Registered Investment Advisory firm - (2/8/2017 Approved)

Texas

Registered Investment Advisory firm - (1/23/2017 Approved)

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Contact information

Main Address

1202 Ne Mcclain Rd Bldg 7-ste 143, Bentonville, AR 72712

Mailing Address

Phone number

(765) 561-1468

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	207
AUM (Assets Under Management)	$ 22,000,000

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.

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Advisor Monitoring

Firm Stability Insights

David L. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Laurence Fields's CRS (Customer Relationship Summary).

Certified licenses

Experience

FMG DISTRIBUTORS, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

FMG DISTRIBUTORS, INC.

D.L. FIELDS ADVISORY GROUP

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

PMG SECURITIES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

LPL FINANCIAL LLC

BIRCHTREE FINANCIAL SERVICES LLC

FMG DISTRIBUTORS, INC.

PMG SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/7/2013

Series 66

Date: 1/18/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1995

FINRA

Current Firm

D.L. FIELDS ADVISORY GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

D.L. FIELDS ADVISORY GROUP, LLC

TRUST BUT VERIFY

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