John Fields
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.
John Fields, who also goes by John David Fields, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2022 - December 31, 2023
THE LEADERS GROUP, INC.
February 5, 2021 - August 5, 2022
AFS SECURITIES, LLC
September 11, 2019 - December 7, 2020
MML INVESTORS SERVICES, LLC
February 14, 2019 - April 25, 2019
MML INVESTORS SERVICES, LLC
April 19, 2017 - September 27, 2018
COMMONWEALTH FINANCIAL NETWORK
April 12, 2017 - September 27, 2018
COMMONWEALTH FINANCIAL NETWORK
September 30, 2013 - March 24, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 12, 2012 - March 24, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 20, 2012 - September 24, 2012
LPL FINANCIAL LLC
September 20, 2012 - November 20, 2012
SANTANDER SECURITIES LLC
November 27, 2007 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 7, 2007 - November 9, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 8, 2004 - August 24, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 13, 2002 - September 30, 2003
QUICK & REILLY, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
