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Thomas Richmond Field

Fidelity Brokerage Services LLC

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About Thomas Richmond Field

Thomas Richmond Field is a securities professional with over 20 years of experience in the industry. Thomas is currently registered with Fidelity Brokerage Services LLC. Thomas has held prior roles with Scottrade, Inc., Fidelity Brokerage Services LLC and Pruco Securities Corporation. Thomas holds the Series 4, 6, 7, 8, 9, 24, 55, 63 and SIE licenses. Thomas is registered in 53 states and the District of Columbia.

Firm Information

Thomas Field is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Field’s Registration & Firm History

NH

10/26/2006 - Present

Fidelity Brokerage Services LLC (MERRIMACK NH)

MO

08/15/2002 - 07/07/2004

SCOTTRADE, INC. (ST. LOUIS MO)

RI

04/28/1997 - 08/07/2002

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

NJ

12/05/1996 - 01/20/1997

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BC

Issued 11/03/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/19/2007

Series 4 - Registered Options Principal Examination

BC

Issued 11/15/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/11/1999

Series 24 - General Securities Principal Examination

BC

Issued 07/02/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/25/2006

Series 7 - General Securities Representative Examination

BC

Issued 06/28/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/29/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thomas Richmond Field.
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