David Fields is the Subject of a Six-Figure Dispute

David Fields (CRD #: 1953457), a broker registered with United Planners’ Financial Services of America A Limited Partner, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on May 15, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On March 28, 2024, an investor alleged David Fields lost his family $400,000. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Various types of broker misconduct violate this rule. 

Background Information 

David Fields has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 3 National Commodity Futures Examination 
• Series 7 General Securities Representative Examination 
• Series 24 General Securities Representative Examination 
• Series 23 General Securities Principal Sales Supervisor 
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 14 states and is a registered investment adviser in California. 

During his 34 years of experience, David Fields has registered with seven firms: 

• United Planners’ Financial Services of America A Limited Partner (CRD #: 20804) 
• Waddell & Reed (CRD #: 866) 
• CitiGroup Global Markets (CRD #: 7059) 
• Oppenheimer & Co. (CRD #: 249) 
• Morgan Stanley Smith Barney (CRD #: 149777) 
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
• Prudential Securities Incorporated (CRD #: 7471) 

Kurta Law Can Help 

If you have worked with David Fields and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.