Eric T. Field

Eric has more than 20 years of experience in a broad scope of key roles in the financial services industry. He worked for industry regulator FINRA during his time in the financial services industry where he conducted examinations of member firms. Following FINRA, Eric obtained extensive experience in compliance roles at two broker-dealers, focusing on capital markets, registrations, policies and procedures, and communications. While conducting his broker-dealer work, he interacted with the SEC, FINRA, and MSRB along with other FINRA member firms both during routine regulatory matters and industry conferences as a panelist. More recently, he has taught bachelors- and masters-level college finance courses as an adjunct professor at Carroll University in Waukesha, WI. Along with several securities industry licenses, Eric holds a Master of Science in Finance from Johns Hopkins University and a Bachelor of Science in Business Administration (Finance) from West Virginia University. Contact Eric at eric@sieprofessor.com.

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