Michael E. 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.
Michael Edward Fitzpatrick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 4 firms and has passed the Series 66, SIE, Series 7, V06 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2013 - September 25, 2019
THE LEADERS GROUP, INC.
June 7, 2004 - October 2, 2012
SECURIAN FINANCIAL SERVICES, INC.
June 7, 2004 - October 2, 2012
SECURIAN FINANCIAL SERVICES, INC.
July 30, 2002 - February 3, 2004
EQUITABLE ADVISORS, LLC
October 20, 1980 - February 3, 2004
EQUITABLE ADVISORS, LLC
September 23, 1970 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
V06
Date: 9/21/1970
Variable Annuities Module ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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