Michael L. 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.
Michael Lane Fields, AIF®, who also goes by Michael Paul Lane, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 10 firms and has passed the 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
December 19, 2019 - September 1, 2022
FIELDS WEALTH MANAGEMENT
October 31, 2018 - December 19, 2019
RBC CAPITAL MARKETS, LLC
October 30, 2018 - December 19, 2019
RBC CAPITAL MARKETS, LLC
August 23, 2016 - October 31, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
August 23, 2016 - October 31, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
March 18, 2015 - August 15, 2016
J.P. MORGAN SECURITIES LLC
March 18, 2015 - August 15, 2016
J.P. MORGAN SECURITIES LLC
November 4, 2013 - March 25, 2015
MORGAN STANLEY
November 4, 2013 - March 25, 2015
MORGAN STANLEY
October 25, 2011 - October 3, 2013
STRATEGIC ADVISERS LLC
October 19, 2011 - October 2, 2013
FIDELITY BROKERAGE SERVICES LLC
October 21, 2009 - October 4, 2011
CHASE INVESTMENT SERVICES CORP.
October 21, 2009 - October 4, 2011
CHASE INVESTMENT SERVICES CORP.
March 27, 2008 - December 31, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 17, 2008 - December 31, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 2, 2007 - February 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
FIELDS WEALTH MANAGEMENT
CRD#: 306479 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 10,250,000 |
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.
