0001612429-22-000004.txt : 20220616 0001612429-22-000004.hdr.sgml : 20220616 20220616161625 ACCESSION NUMBER: 0001612429-22-000004 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 REARDON,UN CHU,NMN, FILED AS OF DATE: 20220616 DATE AS OF CHANGE: 20220616 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Fieldman, Rolapp & Associates, Inc. CENTRAL INDEX KEY: 0001612429 IRS NUMBER: 952920834 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-01551 FILM NUMBER: 221020783 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/A 1 primary_doc.xml MA-I/A 0001612429 XXXXXXXX Adam Bauer 949-660-7303 abauer@fieldman.com MSEABROOK@FIELDMAN.COM N 0001612429-19-000022 N Un Chu NMN Reardon N 1 0001612429 Fieldman, Rolapp & Associates, Inc. 11-18-2019 N 867-00175 LOCATED 11-18-2019 SUPERVISED 11-18-2019 19900 MACARTHUR BLVD STE 110 IRVINE CA 92612 11-2019 Fieldman, Rolapp & Associates, Inc. IRVINE CA 92612 Y N Senior Vice President 07-2019 11-2019 N/A Redmond WA 98074 N N Unemployed 10-2015 07-2019 Raymond James & Associates, Inc. San Francisco CA 94111 Y Y Investment Banker 09-2012 09-2015 Keygent LLC El Segundo CA 90245 Y N Municipal Advisor 06-1998 08-2012 Stifel Nicolaus San Francisco CA 94111 Y 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 06-16-2022 Adam Bauer Chief Compliance Officer