Thomas J. Fitzpatrick
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.
Thomas Joseph Fitzpatrick was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 23 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 15, Series 7, Series 6, Series 9, Series 10, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2014 - June 9, 2015
PRINCIPAL SECURITIES, INC.
March 17, 2014 - December 16, 2014
INVEST FINANCIAL CORPORATION
March 17, 2014 - December 16, 2014
INVEST FINANCIAL CORPORATION
January 21, 2014 - March 17, 2014
CETERA INVESTMENT ADVISERS LLC
April 1, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
April 1, 2013 - March 17, 2014
CETERA INVESTMENT SERVICES LLC
May 7, 2012 - April 2, 2013
INVEST FINANCIAL CORPORATION
May 7, 2012 - April 2, 2013
INVEST FINANCIAL CORPORATION
June 16, 2010 - May 10, 2012
LPL FINANCIAL LLC
June 16, 2010 - May 10, 2012
LPL FINANCIAL LLC
January 12, 2009 - June 1, 2010
BANCWEST INVESTMENT SERVICES, INC.
January 12, 2009 - June 1, 2010
BANCWEST INVESTMENT SERVICES, INC.
May 12, 2008 - November 4, 2008
FIRST ALLIED SECURITIES, INC.
July 10, 2006 - May 2, 2008
BANCWEST INVESTMENT SERVICES, INC.
July 10, 2006 - May 2, 2008
BANCWEST INVESTMENT SERVICES, INC.
May 31, 2005 - July 18, 2006
AMERIPRISE ADVISOR SERVICES, INC.
May 31, 2005 - July 18, 2006
AMERIPRISE ADVISOR SERVICES, INC.
September 2, 2003 - May 5, 2005
CITICORP INVESTMENT SERVICES
September 2, 2003 - May 5, 2005
CITICORP INVESTMENT SERVICES
December 18, 2002 - September 10, 2003
IFMG SECURITIES, INC.
December 4, 2001 - December 31, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 15, 2000 - October 29, 2001
TOWER SQUARE SECURITIES, INC.
September 24, 1998 - May 11, 2000
IFMG SECURITIES, INC.
July 18, 1995 - September 21, 1998
HSBC BROKERAGE (USA) INC.
January 4, 1993 - July 13, 1995
KEY INVESTMENTS INC.
June 11, 1991 - December 31, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
March 26, 1991 - April 5, 1991
DETWILER FENTON WEALTH MANAGEMENT INC
July 23, 1990 - November 15, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 23, 1990 - November 15, 1990
EQUITABLE ADVISORS, LLC
May 13, 1988 - July 2, 1990
A. G. EDWARDS & SONS, INC.
March 2, 1988 - May 25, 1988
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
November 4, 1987 - March 9, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
April 27, 1985 - November 5, 1987
GLEACHER & COMPANY SECURITIES, INC.
October 4, 1983 - April 3, 1985
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
Series 15
Date: 11/1/1986
Foreign Currency Options ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
