James P. 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.
James Patrick Fitzgerald was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 12 firms and has passed the Series 63, SIE, Series 1, Series 9, Series 10, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2015 - December 31, 2015
PIPER SANDLER & CO.
July 29, 2013 - October 29, 2015
BMO CAPITAL MARKETS CORP.
May 14, 2009 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
November 28, 2005 - July 21, 2008
KEYBANC CAPITAL MARKETS INC.
December 9, 1998 - November 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 26, 1997 - December 4, 1997
FITZGERALD, DAVIS & ASSOCIATES, L.P.
July 21, 1997 - December 9, 1998
BANC ONE CAPITAL MARKETS, INC.
March 15, 1993 - July 29, 1997
FITZGERALD, DAVIS & ASSOCIATES, L.P.
June 25, 1990 - September 3, 1992
WELLS FARGO CLEARING SERVICES, LLC
March 14, 1984 - April 9, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 31, 1980 - March 15, 1984
UBS FINANCIAL SERVICES INC.
October 21, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 21, 1972 - September 13, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
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 1
Date: 11/8/1972
Registered Representative ExaminationSeries 12
Date: 10/1/1975
NYSE Branch Manager ExaminationCurrent Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
