Company Profile

Fielder Financial Management, Ltd. is an independent financial and estate planning consulting firm located in Southern California.

For 38 years, we have specialized in providing our clientele across the nation with proven investment and estate planning strategies to help:

• Reduce current and future taxation

• Increase annual income

• Preserve family fortunes

We do not pretend to be all things to all people. No one can, effectively. Like the medical and legal fields, where specialty is the name of the game, we too are specialists.

Specialty Services

We live under a progressive tax structure -- that's a given. However, as the Honorable Supreme Court Judge, Learned Hand, once said: "Anyone may so arrange his affairs that his taxes shall be as low as possible." And we couldn't agree more.

To that end, our goal is to educate you on the legal strategies available to mitigate the negative effects of taxation and help you accumulate, enjoy and eventually pass on your wealth free from customary IRS restrictions or "success" penalties.  Our forte strictly lies in the area of tax-advantaged investment & estate planning strategies.

As a firm dedicated to these principles, we provide both individual investors and corporate institutions with actionable financial solutions necessary to accomplish exactly this.

The Web Helps Us Help You

We were one of the first independent financial services companies to successfully launch and maintain a web presence on the Internet. And as a result, we've helped investors across the U.S. solve or achieve their financial objectives.

It is our goal to hopefully help you too.

Please take a moment to familiarize yourself with our site. We trust that you will find it not only informative, but also interesting.

Attention Users

To receive periodic electronic communications, click here.

Mark Fielder

Mark Fielder is the President and founder of Fielder Financial Management, Ltd. He is a graduate of the University of Southern California School of Business & Finance and has over 38 years of experience in retirement planning, taxation and estate planning. 

His previous corporate affiliations include 4 years as a Senior Partner in the firm of Wealth Transfer Planning, Inc. and 3 years as Vice-President of Western Capital Financial.

Over the years, he has built a strong reputation for working one-on-one and is known for his ability to simplify complex investment and estate planning strategies. He has helped investors across the United States with their retirement and wealth preservation needs.

Mr. Fielder has authored or contributed to several investor guides, including Mastering Wealth Transfer, Private Pension Planning, Federal Tax Incentives and Winning the Wealth Game. He has been quoted and referenced in prominent business and financial publications including The Los Angeles Times, Mark Skousen's Forecasts & Strategies, WCS Online, Bloomberg, Hands-Off Washington and AllExperts.com.

He has served as a consultant to insurance carriers, regional banking institutions, wealthy families and professional athletes. He has been a keynote speaker at investment conferences around the U.S. and was a frequent featured guest on The Financial Power Network - a nationally-syndicated radio program.

Professional Designations

Mr. Fielder holds the following professional licenses, in good standing and without marks or disciplinary actions: FINRA Series 6, 22, 63, 26, Life, Health, Disability & Variable Contracts.

Continuing Education

Mr. Fielder has successfully completed the following Continuing Education courses as required by the FINRA and Insurance State Regulators. 

1993:  Estate Planning / Field of Insurance

1995:  Annuities / Business Insurance / Consumer Protection II / Classification of Risks / Life, Health & Contracts / Settlement Options

1997:  Estate Planning I / Estate Planning II / Guide to Interest-sensitive Life Products / Mutual Funds & Financial Planning / Needs Analysis / Retirement Planning II / California Long-Term Care

1999:  Life & Health Package I

2001:  Advanced Markets Guide / Business Continuation / Deferred Compensation Plans / Essentials of Pension Planning / Insuring Key Employees

2003:  Life & Health Package / Annuities

2005:  Consumer Protection II / CA Long Term Care / Charting your Financial Future / Reducing Client Conflict

2006:  Anti-Money Laundering

2007:  CA Ethics / CA Annuities / Life, Health & Contracts / Anti-Money Laundering

2009:  CA Annuities / Ethics for the Insurance Professional / Key-Man Insurance / Consumer Protection II / Anti-Money Laundering / Outside Business Activities

2010:  CA Annuities / Anti-Money Laundering / Suitability for Variable Annuity Products / Recognizing and Responding to Red Flags / Ethical Investment & Sales Practices / Rules & Regs re Electronic Communications

2011:  Ethics for the Insurance Professional / Planning for Senior Needs / CA Annuities / Ethics for the Insurance Professional / Anti-Money Laundering / NAIC Suitability in Annuities / Electronic Communications with the Public / Customer Information Protection / Senior Investor Issues / Use of Social Media / Variable Annuities Requirements for Supervisors

2012:  Ethics for the Financial Services Professional / Suitability & Know your Customer Rules / Information Security

2013:  Noble Life, Health, & Contracts / Ethics for the Insurance Professional / Planning for Senior Needs / Anti-Money Laundering / Suitability for Variable Annuity Products / Ethical Standards for Producers / Identity Theft / Understanding Complex Products

2014:  Cyber Security / Alternative Investments / Online Identity Theft Scams / Planning for Senior Needs / Variable Annuity Continuing Education

2015:  Noble Insurance Industry Ethics / Annuity Training / Noble Life & Health Insurance / Resolving Agent / Client conflict / Anti-Money Laundering / Understanding ERISA / Deferred Variable Annuities /  Ethical Standards / Fixed Income: Rising Interest Rates / Supervision of Municipal Securities / VA Continuing Education / Regulatory Element

2016:  Ethics and Professional Conduct for the Municipal Securities Representative / Compliance Safety Measures when Working with Senior Investors / Suitability of Variable Products / VA Continuing Education

2017:  Insurance Industry Ethics / Annuity Training / Resolving Agent- Client conflict L&H Insurance / Life & Health Insurance / Anti-Money Laundering

2018:  Anti-Money Laundering / Self Regulatory Office - Rules /  Suitability of Variable Annuity Products / Outside Business Activities and Private Securities Transactions

2019:  Insurance Industry Ethics / Annuity Training / Resolving Agent- Client Conflict L&H Insurance / Life & Health Insurance / Anti-Money Laundering & Red Flag Rule / FINRAs Suitability and Know Your Customer Rules (FINRA Rules 2111 and 2090) / Information Security - Protecting You, Your Clients, and Your Firm / Annual Compliance Reminders for Registered Representatives / Suitability of Variable Products

2020:  Regulation BI ('Best Interest') / Anti-Money Laundering Compliance Obligations for Retail Representatives / Cyber Security

2021:  Anti-Money Laundering Compliance Obligations / Cyber Security / Suitability of Variable Products / Regulatory Element of Continuing Education / CA Four-Hour Annuity Training / Insurance Industry Ethics / Life & Health Insurance / Resolving Agent/Client Conflict

2022:  Anti-Money Laundering Compliance Obligations for Retail Representatives / Cyber Security / Senior Exploitation & Regulatory Concerns /

2023:  Anti-Money Laundering for Retail Representatives / Preventing Customer Complaints / Regulation BI ('Best Interest') Practices / CA Four-Hour Annuity Training / Insurance Industry Ethics / Life & Health Insurance / Resolving Agent/Client Conflict /
FINRA Rules of Conduct / Branch & Remote Work Controls / MNPI & PII / Regulatory Element

Appointments / Consultations

If you would like to speak with Mark directly, you may call 1-800-480-7526 to schedule an appointment.