Eric T. Field
Professional summary
Eric Thomas Field is a registered financial professional currently at HARRIS WILLIAMS located in Richmond, Virginia.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 50, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Thomas Field's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2021 - Present
HARRIS WILLIAMS
Office #1: 1001 Haxall Point 9th Floor, Richmond, VA 23219May 18, 2010 - April 7, 2021
ROBERT W. BAIRD & CO. INCORPORATED
October 13, 2003 - May 28, 2010
B. RILEY SECURITIES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/1/2002
Limited Representative-Equity Trader ExamFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
HARRIS WILLIAMS
CRD#: 113930Richmond, VA 23219TRUST BUT VERIFY
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