Jeffrey D. Field

LINCOLN DOUGLAS INVESTMENTS

Albany, NY 12205

Some features on this profile are disabled

CRD#: 724346

Professional summary

Jeffrey Donald Field, who also goes by Jeffrey D Field, is a registered financial professional currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Albany, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1981. Jeffrey has worked at 15 firms and has passed the Series 63, SIE, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey D Field

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Donald Field'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®

None

Experience

Current

May 17, 2019 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 19 Aviation Rd, Albany, NY 12205

RIA

CRD#: 155578

Albany, NY

Past

October 11, 2010 - May 20, 2019

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

ALBANY, NY

Past

May 27, 2009 - October 12, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ALBANY, NY

Past

February 8, 2007 - May 26, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

LATHAM, NY

Past

September 17, 2003 - July 5, 2005

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

HARTVILLE, OH

Past

March 24, 1998 - August 6, 2001

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

HARTVILLE, OH

Past

May 30, 1997 - December 23, 1997

SSI SECURITIES CORP.

CRD#: 8275

BOCA RATON, FL

Past

March 25, 1997 - March 17, 1998

LITWIN SECURITIES INC.

CRD#: 10060

MIAMI BEACH, FL

Past

March 6, 1995 - August 18, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 16, 1994 - February 24, 1995

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

May 13, 1993 - September 21, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 24, 1991 - April 2, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 21, 1989 - October 15, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 12, 1988 - March 29, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 25, 1988 - August 18, 1988

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

July 25, 1986 - February 2, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 23, 1981 - August 23, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(5/17/2019)

New York
(5/17/2019)

Exams

State Security Law Exam

Series 63

Date: 2/26/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 2/14/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 2/21/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578 / SEC#: 801-72438, 8-68728

RIA

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/20/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (11/15/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1051 Newark Rd, Mount Vernon, OH 43050

Mailing Address

1051 Newark Rd, Mt. Vernon, OH 43050

Phone number

(740) 397-1397

Established

Ohio since 09/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (42 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
DENNIS, KENNETH EARL	CEO	2297497
MANSFIELD, DOUGLAS MARR	GENERAL COUNSEL, CORPORATE SECRETARY
BULLOCK, BRANDON LEE	CFO, FINOP	4617848
MOHNEY, BRIAN EUGENE	CHIEF COMPLIANCE OFFICER / AMLCO	2890043

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 97,644,384

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.

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey D. Field

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Donald Field's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

VOYA FINANCIAL ADVISORS, INC.

INVEST FINANCIAL CORPORATION

CAPITAL SECURITIES OF AMERICA, INC.

CAPITAL SECURITIES OF AMERICA, INC.

SSI SECURITIES CORP.

LITWIN SECURITIES INC.

GRUNTAL & CO., L.L.C.

MERIDIAN, DUNHILL & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

GLEACHER & COMPANY SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1981

SIE

Date: 10/1/2018

Series 15

Date: 2/14/1985

Series 7

Date: 2/21/1981

FINRA

Current Firm

LINCOLN DOUGLAS INVESTMENTS, LLC

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

LINCOLN DOUGLAS INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors