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WILLIAM HOLTEN FIELDS
JAI FIELDS
CRD#: 1966739
IA
B
SHADOW WEALTH MANAGEMENT, LLCCRD#: 297588 100 OLD CHEROKEE ROAD
SUITE F
LEXINGTON, SC 29072
SUITE F
LEXINGTON, SC 29072
INTERCAROLINA FINANCIAL SERVICES, INC.CRD#: 19475 LEXINGTON, SC
0
Disclosures
33
Years of Experience
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State Registrations
IA
Florida 11/4/2021
B
South Carolina 11/30/2021
IA
South Carolina 6/28/2018
IA
Texas 6/25/2018
SRO Registrations
B
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B
Registered with this firm since 11/30/2021
IA
Registered with this firm since 6/25/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/30/2009 - 08/12/2021 | GREENSBORO, NC | |
IA | 10/26/2017 - 12/11/2018 | LEXINGTON, SC | |
B | 11/20/2008 - 03/03/2009 | CHARLOTTE, NC | |
B | 08/20/2007 - 06/25/2008 | COLUMBIA, SC | |
IA | 09/22/2005 - 03/14/2007 | LEXINGTON, SC | |
B | 09/26/2005 - 03/14/2007 | FAIRPORT, NY | |
IA | 01/16/2004 - 10/14/2005 | LEXINGTON, SC | |
B | 06/26/2000 - 12/31/2003 | FORT WAYNE, IN | |
B | 09/15/1997 - 06/27/2000 | NEW YORK, NY | |
B | 09/19/1989 - 09/18/1997 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.