Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lee Fields is an investment advisor representative with over 27 years of experience in the financial services industry. Richard is registered with Capital Investment Advisory Services, LLC, which is based in Raleigh, North Carolina. Richard has a broad range of experience and licenses, having passed the Series 6, 7, 63, and 65 exams, as well as the SIE exam. His prior experience includes working with Park Avenue Securities LLC and Guardian Investor Services Corporation. Richard specializes in providing financial planning and investment management services to individuals, high-net-worth individuals, businesses, corporations, and pension and profit-sharing plans. Richard is also registered as an insurance agent/president with Integrated Advisory Services, where he spends a significant portion of his time providing insurance sales and service.
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.
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
NC
04/01/2009 - Present
Capital Investment Advisory Services, LLC (RALEIGH NC)
NY
05/03/1999 - 02/08/2005
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NY
03/01/1995 - 05/03/1999
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
IA
Issued 12/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/28/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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