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Detailed Report
CARYN ELIZABETH FIELDS
Caryn E Fields, Caryn Fields
CRD#: 6215503
IA
Investment Adviser
B
Broker
HIGHTOWER ADVISORS, LLCCRD#: 145323 525 Route 73 North
Suite 312
Marlton, NJ 08053
HIGHTOWER SECURITIES, LLCCRD#: 116681 525 Route 73 North
Suite 312
Marlton, NJ 08053
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2019 (4 years)2 FIRMS2020 - 2020 (<1 year)2 FIRMS2020 - 2023 (2 years)2 FIRMS2023 - Present (1 year)IAVIVALDI CAPITAL MANAGEMENT, LLC (CRD# 160150)2019 - 2020 (<1 year)
License(s)

State Registrations

B
New Jersey 10/31/2023
IA
New Jersey 12/6/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HIGHTOWER ADVISORS, LLC (CRD#:145323)
525 Route 73 North Suite 312, Marlton, NJ 08053
Registered with this firm since 12/6/2023
B
HIGHTOWER SECURITIES, LLC (CRD#:116681)
525 Route 73 North Suite 312, Marlton, NJ 08053
Registered with this firm since 10/31/2023
Previous Registration(s)
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IA
 11/27/2020 - 10/27/2023 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) HIGHLAND PARK, IL
B
 11/16/2020 - 10/26/2023 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) HIGHLAND PARK, IL
IA
 01/23/2020 - 09/17/2020 NADLER FINANCIAL GROUP, INC. (CRD#:122617) DEERFIELD, IL
B
 02/04/2020 - 09/15/2020 AUSDAL FINANCIAL PARTNERS, INC. (CRD#:7995) DEERFIELD, IL
IA
 09/20/2019 - 02/03/2020 VIVALDI CAPITAL MANAGEMENT, LLC (CRD#:160150) CHICAGO, IL
IA
 10/06/2014 - 09/09/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) CHICAGO, IL
B
 10/06/2014 - 09/09/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) CHICAGO, IL
IA
 12/23/2013 - 10/03/2014 MORGAN STANLEY (CRD#:149777) CHICAGO, IL
B
 11/28/2013 - 10/03/2014 MORGAN STANLEY (CRD#:149777) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.