Jeffrey E. 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.
Jeffrey Eugene Fields, who also goes by Jeffrey E Fields, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 4 firms and has passed the Series 63, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 1984 - February 20, 1985
MUNICIPAL SECURITIES, INCORPORATED
June 15, 1984 - July 23, 1984
SWINK & COMPANY, INC.
April 22, 1983 - December 1, 1983
PARK, RYAN OF TENNESSEE, INC.
October 29, 1982 - April 20, 1983
NORRIS & HIRSHBERG, 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
Series 1
Date: 6/23/1978
Registered Representative ExaminationCurrent Firm
MUNICIPAL SECURITIES, INCORPORATED
CRD#: 6163 / SEC#: , 8-17017
Contact information
Documents
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.
