Guy A. Field
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.
Guy Allen Field, who also goes by Guy A Field, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1998. Guy had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2016 - April 11, 2022
FIRST PUBLIC, LLC
October 15, 2009 - January 26, 2011
EMPOWER ADVISORY GROUP, LLC
March 17, 2005 - July 9, 2008
USAA FINANCIAL PLANNING SERVICES
February 3, 2005 - July 9, 2008
USAA FINANCIAL ADVISORS, INC.
August 3, 1998 - January 3, 2005
CAPITAL CLIENT GROUP, 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
FIRST PUBLIC, LLC
CRD#: 128180 / SEC#: , 8-66105
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
