Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Brook Fields is an investment advisor representative with United Planners' Financial Services of America a Limited Partner, with over 30 years of experience in the financial services industry. David has extensive experience in investment advisory services, portfolio management, and financial planning. David holds multiple licenses and certifications including the Series 7, 24, 63, and 65 exams. David has held positions at various financial institutions such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Oppenheimer & Co. Inc., and Citigroup Global Markets Inc. David is currently registered with the state of California as an investment advisor representative and securities agent, and is also registered in other states.
7333 EAST DOUBLETREE RANCH RD, SUITE 120
SCOTTSDALE, AZ 85258
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TN
02/05/2020 - Present
United Planners' Financial Services OF America A Limited Partner (KNOXVILLE TN)
CA
10/16/2017 - 02/07/2020
WADDELL & REED (SHERMAN OAKS CA)
CA
09/23/2014 - 11/15/2017
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
CA
11/09/2009 - 06/16/2014
OPPENHEIMER & CO. INC. (NEWPORT BEACH CA)
CA
06/01/2009 - 12/07/2009
MORGAN STANLEY SMITH BARNEY (CARLSBAD CA)
CA
09/03/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CARLSBAD CA)
NY
04/28/1995 - 09/10/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/18/1989 - 05/16/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 01/30/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 12/22/2017
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 11/01/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/25/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1989
Series 3 - National Commodity Futures Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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