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Ian Henry Fields

CRD# 5041255·Registered 2005 - 2017
Previously Registered: Being a previously registered professional could mean that Ian 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.

Professional Summary

Ian Henry Fields was a registered financial advisor. Ian was a previously registered financial professional and started their career in finance 2005 - 2017. Ian had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

21 years in the financial services industry

Current & Past Employments

RHINO TRADING PARTNERS, LLC·CRD# 146064
BD
New York, NY
January 13, 2016 - July 14, 2017
T3 TRADING GROUP, LLC·CRD# 154431
BD
New York, NY
May 29, 2014 - January 21, 2015
ECHOTRADE LLC·CRD# 42239
BD
Phoenix, AZ
October 25, 2011 - May 3, 2013
ECHOTRADE LLC·CRD# 42239
BD
Phoenix, AZ
January 7, 2011 - October 21, 2011
QUAD CAPITAL, LLC·CRD# 148927
BD
New York, NY
January 12, 2009 - June 21, 2010
FIRST NEW YORK SECURITIES L.L.C.·CRD# 16362
BD
New York, NY
October 17, 2005 - October 16, 2008

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Current Firm

RT
RHINO TRADING PARTNERS, LLC

RHINO TRADING PARTNERS, LLC

CRD#: 146064 / SEC#: 8-67781
BD
Terminated by SEC on 07/29/2018

Contact Information

Established

New York since 09/07/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
STEINMAN, SCOTT DAVIDHEAD TRADER, MANAGER, CEO5007075
SCHILLING, MICHAEL JAMESEXEC. REP/FINOP/CCO/AMLCO/MANAGING MEMBER2609624

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2016About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2017About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Oct 2005

Series 7 — General Securities Representative Examination

Passed Oct 2005About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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