Joanne S. Fitzsimons
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.
Joanne Shirley Fitzsimons, who also goes by Joanne Shirley Firzsimons, Joanne Shirley Horky, Joanne Shirley Stevens, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1984. Joanne had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, Series 4 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
September 18, 2002 - November 30, 2004
NEW ENGLAND SECURITIES
December 22, 2000 - August 21, 2002
MONY SECURITIES CORPORATION
December 15, 1999 - December 31, 1999
NEW ENGLAND SECURITIES
April 6, 1998 - December 3, 1999
NEW ENGLAND SECURITIES
January 14, 1998 - March 2, 1998
EISNER SECURITIES, INC.
August 14, 1995 - January 7, 1998
SECURITIES SERVICE NETWORK, LLC
February 22, 1991 - August 3, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 22, 1990 - January 16, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
August 10, 1990 - August 23, 1990
L.M. DREW & ASSOCIATES
March 3, 1986 - August 8, 1990
BLINDER, ROBINSON & CO., INC.
March 26, 1984 - March 14, 1986
NEW ENGLAND SECURITIES
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
