Michael T. Fitzsimmons
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 Thomas Fitzsimmons was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 6 firms and has passed the Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2009 - July 9, 2012
FORESTERS EQUITY SERVICES, INC.
August 12, 2008 - November 20, 2009
FORESTERS EQUITY SERVICES, INC.
October 31, 2005 - April 23, 2008
OSAIC SERVICES, INC.
February 15, 1996 - October 31, 2005
SUNAMERICA SECURITIES, INC.
March 24, 1993 - December 31, 1995
OSAIC FS, INC.
August 19, 1983 - May 19, 1992
USLIFE EQUITY SALES CORP.
May 21, 1971 - October 31, 1977
RENAISSANCE SECURITIES AND CO., 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
Exams
Series 1
Date: 5/15/1971
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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