Stewart E. Fields

OPENAIR FINANCIAL

Southlake, TX 76092

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CRD#: 5881621

Professional summary

Stewart Embry Fields, CFP®, who also goes by Stewart Fields, is a registered financial advisor currently at OPENAIR FINANCIAL, LLC located in Southlake, Texas.

Stewart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Stewart has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stewart Fields

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.

OPENAIR ADVISORY, LLC; INVESTMENT RELATED; SOUTHLAKE,TX; INSURANCE; OWNER/INSURANCE AGENT; 01/2019; APPROXIMATELY 16 HOURS PER MONTH DURING TRADING HOURS; INSURANCE SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stewart Embry Fields's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

March 22, 2019 - Present

OPENAIR FINANCIAL, LLC

Office #1: 280 Miron Drive, Southlake, TX 76092Office #2: 17000 Dallas Parkway Suite 102, Dallas, TX 75248

RIA

CRD#: 300362

Southlake, TX

Past

May 26, 2016 - April 18, 2019

LAKE POINT WEALTH MANAGEMENT, LLC

RIA

CRD#: 170398

HEATH, TX

Past

September 11, 2014 - September 23, 2015

ADVISOR RESOURCE COUNCIL

RIA

CRD#: 164109

DALLAS, TX

Past

August 8, 2014 - September 30, 2015

LPL FINANCIAL LLC

CRD#: 6413

DALLAS, TX

Past

February 7, 2013 - July 25, 2014

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

IRVING, TX

Past

October 21, 2011 - July 29, 2014

GIRARD SECURITIES, INC.

CRD#: 18697

IRVING, TX

Past

September 29, 2011 - November 7, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVING, TX

Past

May 14, 2011 - November 7, 2011

LPL FINANCIAL LLC

CRD#: 6413

IRVING, TX

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".

OPENAIR FINANCIAL, LLC

CRD#: 300362 / SEC#: 801-127377

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

Texas

Registered Investment Advisory firm - (2/27/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(3/22/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/13/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OPENAIR FINANCIAL, LLC

CRD#: 300362 / SEC#: 801-127377

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

Texas

Registered Investment Advisory firm - (2/27/2023 Terminated)

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Contact information

Main Address

280 Miron Drive, Southlake, TX 76092

Mailing Address

Phone number

(214) 233-6059

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A&2B SEC (2/19/2025)

Regulatory assets under management

Total Number of Accounts	1,024
AUM (Assets Under Management)	$ 280,800,000

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.

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Advisor Monitoring

Firm Stability Insights

Stewart E. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stewart Embry Fields's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAKE POINT WEALTH MANAGEMENT, LLC

ADVISOR RESOURCE COUNCIL

LPL FINANCIAL LLC

UNITED CAPITAL FINANCIAL ADVISORS

GIRARD SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

OPENAIR FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2011

Series 63

Date: 5/17/2011

SIE

Date: 9/30/2015

Series 7

Date: 7/13/2012

Series 6

Date: 5/13/2011

Current Firm

OPENAIR FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OPENAIR FINANCIAL, LLC

TRUST BUT VERIFY

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