James E. Fields

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-03-31
TX	RA	APPROVED	2025-03-31

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	08/2014	01/2017
Td Ameritrade	Carlsbad	CA	02/2017	01/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Carlsbad	CA	01/2021	11/2021
Bank Of America, N.A.	Carlsbad	CA	02/2021	11/2021
Fidelity Investments	Oceanside	CA	11/2021	Present
Fidelity Investments	Boston	MA	03/2025	Present

08/2014 → 01/2017

Axa Advisors, Llc

New York, NY
02/2017 → 01/2021

Td Ameritrade

Carlsbad, CA
01/2021 → 11/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carlsbad, CA
02/2021 → 11/2021

Bank Of America, N.A.

Carlsbad, CA
11/2021 → Present

Fidelity Investments

Oceanside, CA
03/2025 → Present

Fidelity Investments

Boston, MA

2022-02-17 → 2025-03-31

Fidelity Personal And Workplace Advisors

Salt Lake City, UT

Oceanside, CA
2021-02-10 → 2021-11-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carlsbad, CA

Carlsbad, CA
2017-02-15 → 2021-01-20

Td Ameritrade, Inc.

Carlsbad, CA
2017-02-15 → 2021-01-20

Td Ameritrade Investment Management, Llc

Carlsbad, CA
2014-08-15 → 2017-02-17

Equitable Advisors, Llc

San Diego, CA

Carlsbad, CA
2013-05-28 → 2013-12-12

Edward Jones

St Louis, MO

Oceanside, CA

Encinitas, CA
2013-03-19 → 2013-05-17

Northwestern Mutual Investment Services, Llc

Carlsbad, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-03-15
S63	Uniform Securities Agent State Law Examination	2012-06-20