John M. 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.
John Michael Fitzgerald was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2006 - December 31, 2013
SOURCE CAPITAL GROUP, INC.
February 13, 2002 - October 17, 2006
SOURCE CAPITAL MANAGEMENT
December 1, 2001 - December 31, 2013
SOURCE CAPITAL GROUP, INC.
February 10, 1997 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
January 27, 1995 - February 1, 1997
ADVEST, INC.
March 1, 1993 - February 2, 1995
A. G. EDWARDS & SONS, INC.
April 14, 1989 - March 3, 1993
MORGAN STANLEY DW INC.
May 2, 1988 - April 21, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 22, 1987 - March 17, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 22, 1987 - March 18, 1988
EQUITABLE ADVISORS, LLC
October 24, 1985 - June 4, 1987
PRUCO SECURITIES, LLC.
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
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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