EF
Elizabeth M. Fields
ASSOCIATED INVESTMENT SERVICES
Green Bay, WI 54301-5114
Some features on this profile are disabled
CRD#: 5546702
EF
Professional summary
Elizabeth Marie Fields, who also goes by Elizabeth Fields, Elizabeth Marie Morris, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Green Bay, Wisconsin.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Elizabeth has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth Fields | Elizabeth Marie Morris
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.
KOHLS, 500 BAY PARK SQUARE, ASHWAUBENON, WI 54304; NOT INVESTMENT RELATED; DEPARTMENT STORE; MERCHANDISING CLERK; STARTED 11/08/2024; APPROXIMATELY 15 HOURS PER MONTH, NONE DURING TRADING HOURS; WORKING WITHIN VARIOUS DEPARTMENTS WITHIN THE STORE.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Marie Fields's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Marie 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®
NoneExperience
Current
July 25, 2024 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 433 Main Street, Green Bay, WI 54301-5114RIA
BD
CRD#: 1464
Green Bay, WI
Current
July 25, 2024 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 433 Main Street, Green Bay, WI 54301-5114RIA
BD
CRD#: 1464
Green Bay, WI
Past
March 4, 2024 - July 22, 2024
DUELL FINANCIAL STRATEGIES
RIA
CRD#: 140283
APPLETON, WI
Past
June 16, 2021 - December 18, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Greenwood Village, CO
Past
June 16, 2021 - December 18, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Greenwood Village, CO
Past
September 4, 2018 - June 8, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Greenwood Village, CO
Past
July 20, 2018 - June 8, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Greenwood Village, CO
Past
July 1, 2008 - June 15, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
APPLETON, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(7/25/2024)
IAR
Illinois(8/1/2024)
RR
Minnesota(7/25/2024)
IAR
Minnesota(7/29/2024)
RR
Wisconsin(7/25/2024)
IAR
Wisconsin(7/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 9/24/2025
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
433 Main Street, Green Bay, WI 54301-5114
Mailing Address
P.o. Box 640, Green Bay, WI 54305-0640
Phone number
(800) 595-7722
Established
Wisconsin since 03/23/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
