Robert J. 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.
Robert James Fitzgerald was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1983. Robert had worked at 17 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2007 - December 26, 2008
WESTMINSTER SECURITIES CORPORATION
September 18, 2006 - March 5, 2007
ADVANCED EQUITIES, INC.
September 15, 2006 - March 5, 2007
ADVANCED EQUITIES, INC.
April 24, 2006 - September 12, 2006
BISHOP, ROSEN & CO., INC.
January 16, 2003 - October 6, 2004
JESUP & LAMONT SECURITIES CORP
May 2, 2002 - September 3, 2002
BRILL SECURITIES, INC.
April 27, 2000 - April 12, 2002
LEEB BROKERAGE SERVICES, INC.
December 23, 1999 - February 17, 2000
WESTMORELAND CAPITAL CORPORATION
June 22, 1998 - March 18, 1999
OPPENHEIMER & CO. INC.
March 31, 1997 - May 11, 1998
BROOKSTREET SECURITIES CORPORATION
August 17, 1995 - December 2, 1996
FIRST SECURITY INVESTMENTS, INC.
April 21, 1995 - May 16, 1995
FIRST MONTAUK SECURITIES CORP.
February 26, 1993 - December 7, 1994
NORTHEAST CAPITAL MANAGEMENT, INC.
January 1, 1991 - February 16, 1993
FIRST UNION CAPITAL MARKETS CORP.
August 6, 1990 - January 1, 1991
BUTCHER & SINGER INC.
October 18, 1984 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 6, 1984 - September 21, 1984
GABRIELE, HUEGLIN & CASHMAN INC.
October 19, 1983 - July 10, 1984
GLEACHER & COMPANY SECURITIES, INC.
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
WESTMINSTER SECURITIES CORPORATION
CRD#: 6105 / SEC#: , 8-16881
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
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.
