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Michael S. Fitzsimmons

WILLIAMS TRADING LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 1382724
MF

Professional summary

Michael Scott Fitzsimmons is a registered financial professional currently at WILLIAMS TRADING LLC located in Westport, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Scott Fitzsimmons's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 20, 2015 - Present

WILLIAMS TRADING LLC

Office #1: 450 Post Road East Suite 120, Westport, CT 06880
BD
CRD#: 43678
Westport, CT
Past

April 16, 2012 - April 30, 2015

JEFFERIES LLC

BD
CRD#: 2347
SAN FRANCISCO, CA
Past

May 27, 2009 - April 10, 2012

ARCADIA SECURITIES, LLC

BD
CRD#: 44656
NEW YORK, NY
Past

October 14, 2008 - April 27, 2009

SARATOGA CAPITAL MARKETS

BD
CRD#: 120888
NEW YORK, NY
Past

February 22, 2006 - January 23, 2007

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

February 13, 1996 - January 3, 1997

VOLPE BROWN WHELAN & COMPANY, LLC

BD
CRD#: 18329
SAN FRANCISCO, CA
Past

July 12, 1994 - December 20, 1995

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

June 24, 1993 - June 17, 1994

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

June 1, 1987 - November 12, 1987

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 27, 1986 - June 5, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 23, 1985 - November 17, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/7/2023)
RR
Arizona
(7/20/2015)
RR
California
(7/20/2015)
RR
Colorado
(7/20/2015)
RR
Connecticut
(7/20/2015)
RR
Delaware
(7/20/2015)
RR
Florida
(7/20/2015)
RR
Georgia
(6/14/2018)
RR
Illinois
(6/14/2018)
RR
Indiana
(6/25/2018)
RR
Kansas
(7/18/2018)
RR
Maryland
(7/20/2015)
RR
Massachusetts
(7/20/2015)
RR
Michigan
(6/22/2018)
RR
Minnesota
(6/14/2018)
RR
New Jersey
(7/20/2015)
RR
New York
(7/20/2015)
RR
North Carolina
(7/21/2015)
RR
Ohio
(6/14/2018)
RR
Oklahoma
(6/14/2018)
RR
Oregon
(7/18/2018)
RR
Pennsylvania
(7/20/2015)
RR
Rhode Island
(6/14/2018)
RR
South Carolina
(6/14/2018)
RR
Texas
(7/20/2015)
RR
Virginia
(7/20/2015)
RR
Washington
(7/20/2015)
RR
Wisconsin
(6/14/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/3/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/1985
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

WT
WILLIAMS TRADING LLC
WILLIAMS TRADING LLC

CRD#: 43678 / SEC#: , 8-50372

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
450 Post Road East Suite 120, Westport, CT 06880
Mailing Address
450 Post Road East Suite 120, Westport, CT 06880
Phone number
(203) 353-7600
Established
Connecticut since 12/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS, DAVID BREWSTERMANAGING MEMBER/GENERAL SECURITIES PRINCIPAL1715713
GOERTZ, JOSEPH THOMASCHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS5607738
MARCIANO, LANCE DANIELCHIEF OPERATING OFFICER2261020
MOONEY, MATTHEW BRIANREGISTERED OPTIONS PRINCIPAL3100953
MOROVATI, BABAK BOBBYCFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO5650049

Disclosures

Regulatory Event1

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.

Company Information

WILLIAMS TRADING LLC

CRD#: 43678Westport, CT 06880

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