William E. Fitzgerald
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Edward Fitzgerald, who also goes by Bill Fitzgerald, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2018 - June 30, 2021
PLANMEMBER SECURITIES CORPORATION
July 1, 2010 - July 13, 2018
GWN SECURITIES INC.
September 14, 2005 - July 1, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 3, 2004 - May 5, 2005
CETERA FINANCIAL SPECIALISTS LLC
January 6, 2004 - February 12, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 6, 2004 - February 12, 2004
OSAIC FA, INC.
May 29, 2003 - December 11, 2003
VERAVEST INVESTMENTS, INC.
September 15, 2001 - May 21, 2003
LEGG MASON WOOD WALKER, INCORPORATED
March 21, 2001 - September 15, 2001
HOWARD WEIL INCORPORATED
August 4, 1992 - April 3, 2001
AMERICAN GENERAL EQUITY SERVICES CORPORATION
January 3, 1991 - July 31, 1992
VOYA FINANCIAL ADVISORS, INC.
March 31, 1988 - December 21, 1990
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 6, 1985 - February 23, 1988
TOWER SQUARE SECURITIES, INC.
March 29, 1982 - January 8, 1985
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
