Phillip Fitzsimmons
Professional summary
Phillip Fitzsimmons, who also goes by Phillip Rex Fitzsimmons, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 1987. Phillip has worked at 14 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 3, Series 27, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Fitzsimmons's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2018 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054Office #2: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018July 25, 2017 - October 5, 2017
VIGILANT DISTRIBUTORS, LLC
May 26, 2017 - October 5, 2017
BLUEROCK CAPITAL MARKETS LLC
April 26, 2005 - January 29, 2016
APA SECURITIES, LLC
October 1, 2001 - September 30, 2004
BNY MELLON SECURITIES LLC
January 29, 1999 - November 30, 2001
FIRSTAR INVESTMENT SERVICES,INC.
December 4, 1998 - June 11, 2002
CONSECO SECURITIES, INC.
May 14, 1990 - November 6, 1998
HIGHLANDER CAPITAL GROUP, INC.
June 29, 1989 - September 6, 1989
CARNEGIE INVESTOR SERVICES INC.
April 6, 1989 - June 27, 1989
SECURITIES USA, INC.
March 3, 1989 - April 8, 1989
MONMOUTH INVESTMENTS, INC.
March 7, 1988 - April 30, 1988
LEHMAN BROTHERS INC.
February 18, 1988 - March 10, 1989
INVESTORS CENTER, INC.
February 26, 1987 - March 7, 1988
E. F. HUTTON & COMPANY 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
(11/23/2022)
(5/3/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/23/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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