Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Fields is a financial advisor with Fidelity Brokerage Services LLC and has over 10 years of experience in the financial services industry. James has been registered with the Securities and Exchange Commission (SEC) as an investment advisor representative since January 20, 2022. James previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated; TD Ameritrade, Inc.; AXA Advisors, LLC; Edward Jones; Northwestern Mutual Investment Services, LLC; and Farmers Financial Solutions, LLC. James is registered to provide investment advisory services in the states of California and Texas. James is a Series 7, 6, and 66 licensed holder.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
A percentage of the total value of assets under management is charged.
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2
UT
02/17/2022 - Present
Fidelity Personal AND Workplace Advisors (SALT LAKE CITY UT)
CA
02/10/2021 - 11/15/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARLSBAD CA)
CA
02/15/2017 - 01/20/2021
TD AMERITRADE, INC. (CARLSBAD CA)
CA
08/15/2014 - 02/17/2017
AXA ADVISORS, LLC (CARLSBAD CA)
CA
05/28/2013 - 12/12/2013
EDWARD JONES (ENCINITAS CA)
CA
09/18/2012 - 05/17/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CARLSBAD CA)
CA
06/08/2012 - 08/22/2012
FARMERS FINANCIAL SOLUTIONS, LLC (CARLSBAD CA)
MO
09/09/2009 - 10/27/2009
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 3/15/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/20/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/1/2013
Series 7 - General Securities Representative Examination
BC
Issued 6/7/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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