John H. Fields

FIELDS ASSET MANAGEMENT LLC

DENVER, CO

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CRD#: 3178284

Professional summary

John Hardie Fields, who also goes by John Fields, is a registered financial advisor currently at FIELDS ASSET MANAGEMENT LLC located in Denver, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John 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.

YES, AN INDEPENDENT LIFE INSURANCE PRODUCER. IT IS NOT INVESTMENT RELATED AS I ONLY SELL TERM INSURANCE. I SPEND FEWER THAT 4 HOURS PER WEEK ON INSURANCE AND I ONLY WORK ON IT WHEN A CLIENT NEEDS REQUIRED IT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Hardie 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 12, 2007 - Present

FIELDS ASSET MANAGEMENT LLC

RIA

CRD#: 142112

DENVER, CO

Past

November 3, 2006 - November 13, 2007

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

January 4, 2006 - September 15, 2006

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

April 25, 2005 - November 3, 2005

GEORGE K. BAUM & COMPANY

CRD#: 36354

KANSAS CITY, MO

Past

May 28, 1999 - May 3, 2005

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

February 9, 1999 - May 18, 1999

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

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.

Highlighted states indicate IAR registrations

IAR

California
(12/14/2010)

IAR

Colorado
(1/12/2007)

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

Series 63

Date: 11/14/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/31/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/8/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIELDS ASSET MANAGEMENT LLC

CRD#: 142112 / SEC#:

California

Registered Investment Advisory firm - (12/13/2010 Approved)

Colorado

Registered Investment Advisory firm - (1/12/2007 Approved)

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(303) 325-3469

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	67
AUM (Assets Under Management)	$ 4,106,623

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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Firm Stability Insights

John H. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Hardie Fields's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIELDS ASSET MANAGEMENT LLC

CALTON & ASSOCIATES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

GEORGE K. BAUM & COMPANY

JANUS HENDERSON DISTRIBUTORS US LLC

CALTON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2006

Series 65

Date: 10/31/2006

Series 7

Date: 9/6/2000

Series 6

Date: 2/8/1999

Current Firm

FIELDS ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIELDS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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