Mitchell J. Fielding
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.
Mitchell Jonathan Fielding, who also goes by Mitch Fielding, Mitchell J Fielding, Mitchell Fielding, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1998. Mitchell had worked at 3 firms and has passed the Series 63, Series 66, SIE 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
August 21, 2013 - November 21, 2016
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 15, 2008 - October 30, 2008
JANUS HENDERSON DISTRIBUTORS US LLC
April 24, 1998 - March 7, 2000
BAILARD FUND 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
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
