Michael J. Fitzsimons
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 J. Fitzsimons, who also goes by Michael Fitzsimons, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - October 16, 2017
CAIN BROTHERS & COMPANY, LLC
March 17, 2010 - August 2, 2010
CAIN BROTHERS & COMPANY, LLC
June 9, 2009 - August 7, 2009
CAIN BROTHERS & COMPANY, LLC
February 22, 1990 - October 23, 2008
CAIN BROTHERS & COMPANY, LLC
May 18, 1981 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 19, 1977 - June 1, 1981
TRIPP & CO., INC.
June 8, 1976 - May 15, 1977
REYNOLDS SECURITIES, INC.
June 23, 1975 - May 29, 1976
KIDDER, PEABODY & CO., INCORPORATED
April 2, 1973 - July 5, 1975
REYNOLDS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/19/1973
Registered Representative ExaminationCurrent Firm
CAIN BROTHERS & COMPANY, LLC
CRD#: 13649 / SEC#: , 8-43078
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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