Thomas J. 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.
Thomas Joseph Fitzgerald was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 4 firms and has passed the Series 63, PC, Series 1 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
April 25, 1998 - September 1, 1998
SALOMON BROTHERS INC.
June 19, 1984 - July 18, 2005
CITIGROUP GLOBAL MARKETS INC.
April 27, 1983 - May 31, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1970 - October 2, 1980
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/9/1977
AMEX Put and Call ExamSeries 1
Date: 7/30/1965
Registered Representative ExaminationSeries 12
Date: 6/12/1979
NYSE Branch Manager ExaminationCurrent Firm
SALOMON BROTHERS INC.
CRD#: 740 / SEC#: , 8-26920
Contact information
Documents
Red Flags
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