0001612430-14-000004.txt : 20141217
0001612430-14-000004.hdr.sgml : 20141217
20141217160611
ACCESSION NUMBER: 0001612430-14-000004
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141030
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Fieldman Rolapp Financial Services, LLC
CENTRAL INDEX KEY: 0001612430
IRS NUMBER: 330825843
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04301
FILM NUMBER: 141292572
BUSINESS ADDRESS:
STREET 1: 19900 MACARTHUR BLVD.
STREET 2: SUITE 1100
CITY: IRVINE
STATE: CA
ZIP: 92612
BUSINESS PHONE: 949-660-7300
MAIL ADDRESS:
STREET 1: 19900 MACARTHUR BLVD.
STREET 2: SUITE 1100
CITY: IRVINE
STATE: CA
ZIP: 92612
MA-I
1
primary_doc.xml
MA-I
0001612430
XXXXXXXX
Daniel L. Wiles
949-660-7315
dwiles@frfs-llc.com
tstiles@fieldman.com
N
Robert
Anthony
Porr
002802248
Y
3
0001612430
Fieldman Rolapp Financial Services, LLC
05-01-2005
N
07-01-2014
0001612430
LOCATED
SUPERVISED
05-01-2005
19900 MACARTHUR BLVD.
SUITE 1100
IRVINE
CA
92612
0001612429
Fieldman, Rolapp & Associates, Inc.
05-01-2005
N
867-00175
LOCATED
SUPERVISED
05-01-2005
19900 MACARTHUR BLVD.
SUITE 1100
IRVINE
CA
92612
0001612595
Applied Best Practices, LLC
05-01-2005
N
07-02-2014
0001612595
LOCATED
SUPERVISED
05-01-2005
19900 MACARTHUR BLVD.
SUITE 1100
IRVINE
CA
92612
05-2005
Fieldman Rolapp Financial Services, LLC
Irvine
CA
92612
Y
Y
Senior Vice President
10-2004
04-2005
Structured Finance Corporation of America
Huntington Beach
CA
92647
Y
Y
Senior Vice President
08-1996
09-2004
Southwest Securities
Newport Beach
CA
92660
N
Y
Investment Banker
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
10-29-2014
Daniel L. Wiles
Chief Compliance Officer