Richard L. Fields
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Lewis Fields II was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 9 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2000 - June 21, 2001
INTERFIRST CAPITAL CORPORATION
December 17, 1996 - May 18, 2000
DRAKE & COMPANY, INC.
April 4, 1992 - December 13, 1996
CIBC WORLD MARKETS CORP.
November 12, 1987 - April 20, 1992
SUTRO & CO. INCORPORATED
November 10, 1986 - November 19, 1987
E. F. HUTTON & COMPANY INC
January 20, 1983 - September 16, 1986
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
June 19, 1982 - January 27, 1983
CITIGROUP GLOBAL MARKETS INC.
November 18, 1981 - May 14, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
March 24, 1981 - September 25, 1981
J.P. MORGAN SECURITIES LLC
July 26, 1977 - March 17, 1981
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
