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