Craig M. Fielding
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.
Craig Martin Fielding was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1977. Craig had worked at 11 firms and has passed the Series 65, Series 63, Series 31, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - January 2, 2014
NFSG CORPORATION
August 8, 2012 - January 2, 2014
NEWBRIDGE SECURITIES CORPORATION
April 29, 2011 - July 31, 2012
TCA FINANCIAL GROUP, LLC
April 29, 2011 - July 31, 2012
TCA FINANCIAL GROUP, LLC
November 12, 2007 - May 3, 2011
J.J.B. HILLIARD, W.L. LYONS, LLC
November 18, 2002 - May 3, 2011
J.J.B. HILLIARD, W.L. LYONS, LLC
June 20, 2002 - November 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - November 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - June 20, 2002
WACHOVIA SECURITIES, INC.
October 17, 1994 - June 15, 2002
WACHOVIA SECURITIES, INC.
January 26, 1993 - October 4, 1994
EDGAR M. NORRIS & CO., INC.
January 3, 1989 - January 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 11, 1987 - November 16, 1988
FIRST TRYON SECURITIES, INC.
May 20, 1980 - May 21, 1987
WACHOVIA SECURITIES, INC.
September 26, 1978 - June 19, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
Series 5
Date: 9/28/1981
Interest Rate Options ExaminationSeries 8
Date: 4/3/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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