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Chapel Hill, NC • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-02-15 |
| TX | RA | APPROVED_RES | 2015-11-24 |
| IL | RA | APPROVED | 2010-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fields Consulting Llc | Chapel Hill | NC | 12/1998 | Present |
| Spectrum Advisers, Llc | Chapel Hill | NC | 02/2009 | Present |
FIELDS CONSULTING, L.L.C. - 310 BEACON RIDGE BLVD., CHAPEL HILL, NC 27516 FIELDS CONSULTING, L.L.C. IS NOT AN INVESTMENT-RELATED BUSINESS AND IS NOT A REGISTERED INVESTMENT ADVISER. MR. MORGAN IS THE MANAGING MEMBER OF THE LIMITED LIABILITY COMPANY AND THE SOLE PRINCIPAL OF THE BUSINESS AND HAS BEEN SO SINCE ITS FORMATION IN 1998. J. P. MORGAN IS A LICENSED INSURANCE PRODUCER. HE PERFORMS RELATED TASKS AND SERVICES AND IS COMPENSATED UNDER THIS SEPARATE BUSINESS ENTITY, FIELD CONSULTING, L.L.C. THESE SERVICES ARE INDEPENDENT OF OUR FINANCIAL PLANNING AND INVESTMENT ADVISORY SERVICES AND ARE GOVERNED UNDER A SEPARATE ENGAGEMENT AGREEMENT. MR. MORGAN OFFERS INSURANCE PRODUCTS AND RECEIVES CUSTOMARY FEES AS A RESULT OF INSURANCE SALES. A CONFLICT OF INTEREST EXISTS AS INSURANCE SALES MAY CREATE AN INCENTIVE TO RECOMMEND PRODUCTS BASED ON THE COMPENSATION EARNED. THIS CONFLICT IS MITIGATED BY MR. MORGAN'S FIDUCIARY DUTY TO ALWAYS ACT IN A CLIENT'S BEST INTEREST. CLIENTS HAVE THE OPTION OF ENGAGING J. P. MORGAN FOR THESE SERVICES; HOWEVER, THEY ARE IN NO WAY UNDER ANY OBLIGATION TO DO SO. IN A SIMILAR MANNER, J. P. MORGAN IS ALSO A LICENSED REAL ESTATE AGENT. AS SUCH, HE RECEIVES NORMAL AND CUSTOMARY FEES ASSOCIATED WITH REAL ESTATE TRANSACTIONS IN THEIR INDEPENDENT CAPACITY. THESE SERVICES ARE SEPARATE FROM OUR FIRM'S ADVISORY SERVICES AND ARE GOVERNED UNDER A SEPARATE AGREEMENT. CLIENTS ARE UNDER NO OBLIGATION TO ENGAGE J. P. MORGAN FOR THESE SERVICES. THIS IN NO WAY AUGMENTS MR. MORGAN FIDUCIARY RESPONSIBILITIES TO THE CLIENTS THAT HE OR SPECTRUM ADVISERS SERVES. THESE OR OTHER BUSINESS ACTIVITIES THAT MAY NOT BE DIRECTLY ATTRIBUTABLE TO SPECTRUM ADVISERS, LLC MAY CONSIST OF APPROXIMATELY 150 HRS/YEAR OF MR. MORGAN'S TIME. IF A CLIENT IS REFERRED TO AN INVESTMENT IN WHICH SPECTRUM OR ITS RELATED PERSONS HAVE AN INTEREST IN THE INVESTMENT, ADVISER AND ITS RELATED PERSONS WILL ALWAYS PUT THE INTEREST OF THE CLIENT AHEAD OF THEIR OWN INTERESTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-08 |
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