Mark W. Fields
Professional summary
Mark W Fields is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 3 firms and has passed the Series 63, SIE, Series 82 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark W Fields's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2017 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602January 9, 2014 - May 30, 2014
J.P. MORGAN SECURITIES LLC
April 21, 2011 - November 18, 2013
J.P. MORGAN CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/5/2018)
(7/6/2017)
(7/16/2021)
(3/13/2018)
(5/13/2024)
(12/18/2024)
(6/6/2023)
(3/5/2018)
(3/13/2018)
(7/6/2017)
(2/9/2022)
(3/5/2018)
(4/29/2021)
(7/27/2021)
(7/29/2021)
Exams
FINRA
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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