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Fields Asset Management LLC CRD 142112
$4.55M regulatory AUM 63 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
Denver, CO • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2007-01-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Calton & Associates, Inc. | Arvada | CO | 11/2006 | Present |
YES, AN INDEPENDENT LIFE INSURANCE PRODUCER. IT IS NOT INVESTMENT RELATED AS I ONLY SELL TERM INSURANCE. I SPEND FEWER THAT 4 HOURS PER WEEK ON INSURANCE AND I ONLY WORK ON IT WHEN A CLIENT NEEDS REQUIRED IT.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-11-14 |
| S65 | Uniform Investment Adviser Law Examination | 2006-10-31 |
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