Brian D. 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.
Brian Dean Fitzgerald was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 7 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
July 22, 2022 - August 15, 2022
B. RILEY WEALTH MANAGEMENT
February 26, 2018 - July 22, 2022
NATIONAL SECURITIES CORPORATION
March 22, 2017 - February 24, 2018
VFINANCE INVESTMENTS, INC
October 13, 2014 - February 5, 2015
HIGH POINT CAPITAL GROUP, INC.
December 19, 2011 - December 31, 2012
VFINANCE INVESTMENTS, INC
February 12, 2009 - January 15, 2010
SPEEDTRADER, INC
July 23, 2007 - October 31, 2008
VIEWTRADE SECURITIES, INC.
February 20, 2007 - July 16, 2007
STG SECURE TRADING GROUP, INC.
October 25, 2000 - February 28, 2007
VIEWTRADE SECURITIES, INC.
September 26, 1994 - November 21, 2000
BARRON CHASE SECURITIES, INC.
February 2, 1993 - September 26, 1994
CULLUM & SANDOW SECURITIES, INC.
June 5, 1992 - February 9, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
November 20, 1989 - September 16, 1991
GRF CAPITAL INVESTORS, INC.
July 19, 1988 - November 9, 1989
ANDERSON, BRYANT & CO.
May 30, 1984 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, 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
Series 55
Date: 3/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
