James E. Fields
Professional summary
James E. Fields, who also goes by James E Fields, James Elliott Fields, James Fields, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Carlsbad, California and FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James E. Fields's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
January 20, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101February 17, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 10, 2021 - November 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2021 - November 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2017 - January 20, 2021
TD AMERITRADE, INC.
February 15, 2017 - January 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 15, 2017 - January 20, 2021
TD AMERITRADE, INC.
August 15, 2014 - February 17, 2017
EQUITABLE ADVISORS, LLC
August 15, 2014 - February 17, 2017
EQUITABLE ADVISORS, LLC
May 28, 2013 - December 12, 2013
EDWARD JONES
May 28, 2013 - December 12, 2013
EDWARD JONES
March 19, 2013 - May 17, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 18, 2012 - May 17, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 2012 - August 22, 2012
FARMERS FINANCIAL SOLUTIONS, LLC
September 9, 2009 - October 27, 2009
EDWARD JONES
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
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Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
