John T. Fitzpatrick
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 Thomas Fitzpatrick JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 11 firms and has passed the Series 63, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2009 - January 14, 2020
ZIV INVESTMENT COMPANY
July 1, 2003 - July 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1990 - October 26, 2000
JANNEY MONTGOMERY SCOTT LLC
April 11, 1988 - March 17, 1990
LEHMAN BROTHERS INC.
January 16, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - January 26, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 28, 1974 - November 18, 1975
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - April 27, 1974
DUPONT WALSTON, INCORPORATED
July 24, 1970 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
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
PC
Date: 9/10/1983
AMEX Put and Call ExamSeries 1
Date: 7/23/1969
Registered Representative ExaminationSeries 8
Date: 6/1/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ZIV INVESTMENT COMPANY
CRD#: 4316 / SEC#: , 8-18119
Contact information
FINRA licenses (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 22,915,455 |
Disclosures
| Regulatory Event | 6 |
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.
