Leslie Fields, financial advisor Santa Fe NM
88 score

Leslie Fields

CRD Number: 5992648
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Leslie Fields (CRD# 5992648) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Fe, NM and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Fe, NM Sep 2011 - Current 5
Unemployed Columbia, MO Jan 2011 - Sep 2011 < 1
Fr. Tolton Regional Catholic High School Columbia, MO Mar 2007 - Dec 2010 3
Our Lady Of Lourdes Catholic Church Columbia, MO Sep 2004 - Mar 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2014
Contact Info for Leslie A. Fields
Phone Number: 800-637-7455
Registered State(s):
  • NM
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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