FF
Frank B. Fitzgerald
NYLIFE SECURITIES LLC
Greenville, SC 29607
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CRD#: 1525778
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Professional summary
Frank Burdette Fitzgerald III, ChFC®, CLU® is a registered financial professional currently at NYLIFE SECURITIES LLC located in Greenville, South Carolina.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1986. Frank has worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
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.
[INSURANCE BROKERING; FITZGERALD & ASSOCIATES; 880S Pleasantburg Dr Suite 3D Greenville SC 29607; START DATE 01/1998; ROLE/TITLE: INSURANCE BROKER; INVESTMENT RELATED; 40 HOURS PER MONTH; 40 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [CLASS OF 1971 REUNION COMMITTEE, NON INVESTMENT RELATED, TREASURER, 113 PROVIDENCE SQ, GREENVILLE SC 29615, TREASURER, 2 HOURS PER MONTH SPENT, PLANS 5 YEAR REUNIONS AND DEPOSITS CHECKS FOR THE EVENTS, ETC.] [REFUGE SPORTS; GREENVILLE SC; START DATE: 6/2014; ROLE/TITLE: BOARD MEMBER; NOT INVESTMENT RELATED; 8 HOURS PER MONTH; 4 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [Fitzgerald Investment Group LLC; real estate investing. investing in real estate as either a long term but most likely a short term transaction (flip). while rental income is not the focus, it may come in play on occasion; 113 Providence Sq Greenville SC 29615; Start Date 09/2021; Role/Title: Investor; Not Investment Related; 10 hours per month; 10 hours per month during securities trading hours; loans passive investor]
CRS (Client Relationship Summary) - BD
Click below to view Frank Burdette Fitzgerald III'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®
Experience
Current
June 28, 1993 - Present
NYLIFE SECURITIES LLC
Office #1: 880 S Pleasantburg Dr Suite 3-d, Greenville, SC 29607BD
CRD#: 5167
Greenville, SC
Past
July 16, 2004 - March 29, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
GREENVILLE, SC
Past
July 28, 1986 - June 10, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 28, 1986 - June 10, 1993
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
North Carolina(10/27/1995)
RR
South Carolina(6/28/1993)
RR
Tennessee(6/15/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
CRD#: 5167 / SEC#: , 8-15517
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Greenville, SC 29607TRUST BUT VERIFY
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