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Current Employers
D.L. Fields Advisory Group, Llc

1202 Ne Mcclain Rd Bldg 7, Bentonville, AR 72712 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-02-24
  • GA RA
    APPROVED
    Since 2022-02-24

Branch Locations

1202 Ne Mcclain Rd Bldg 7, Bentonville, AR 72712 • United States

501 Pulliam St. Sw Suite 150, Atlanta, GA 30312 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First Allied Securites, Inc San Diego CA 10/2011 04/2019
First Allied Advisory Services, Inc. Chesterfield MO 03/2014 04/2019
International Assets Advisory, Llc Atlanta GA 04/2019 Present
International Assets Investment Management, Llc Atlanta GA 04/2019 Present
  • 10/2011 → 04/2019
    First Allied Securites, Inc
    San Diego, CA
  • 03/2014 → 04/2019
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 04/2019 → Present
    International Assets Advisory, Llc
    Atlanta, GA
  • 04/2019 → Present
    Atlanta, GA
Previous Registrations
  • 2019-05-01 → 2022-01-25
    Atlanta, GA
    Orlando, FL
  • 2014-03-18 → 2019-04-05
    First Allied Advisory Services, Inc.
    Birmingham, AL
    Atlanta, GA
  • 2004-03-04 → 2004-12-31
    Fsc Securities Corporation
    Birmingham, AL
Other Businesses

1) INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 390 N ORANGE AVE STE 750 ORLANDO, FL 32801 - RIA AFFILIATE OF INTERNATIONAL ASSETS ADVISORS, LLC - ADVISOR SINCE 4/2019 - APPROX 160 HRS/MO - FEE BASED COMPENSATION 2) BOGGS & ASSOCIATES, LLC dba AMERICAN RETIREMENT SOLUTIONS - 501 PULLIAM STREET SW, SUITE 150, ATLANTA, GA 30312 - PRIVATE LABEL ENTITY FOR FINANCIAL PLANNING BUSINESS - PRESIDENT SINCE 12/2016 - APPROX 300 HRS/MO - FEES/COMMISSIONS 3) NOTARY PUBLIC - 501 PULLIAM STREET SW, SUITE 150, ATLANTA, GA 30312 - NOTARY SERVICES SINCE 11/2015 - APPROX 160 HRS/MO - FEES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-25
S65 Uniform Investment Adviser Law Examination 1998-12-30
S63 Uniform Securities Agent State Law Examination 1988-10-19
  • S66 Uniform Combined State Law Examination
    2014-02-25
  • S65 Uniform Investment Adviser Law Examination
    1998-12-30
  • S63 Uniform Securities Agent State Law Examination
    1988-10-19

View on SEC IAPD

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