Gerard D. Fagan
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.
Gerard Daniel Fagan was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1991. Gerard had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - December 31, 2012
CITATION FINANCIAL GROUP, L.P.
March 4, 2009 - October 22, 2012
CITATION FINANCIAL GROUP, L.P.
January 1, 2009 - April 16, 2009
NORTHEAST CAPITAL & ADVISORY, INC.
July 8, 2005 - July 2, 2008
FERRIS, BAKER WATTS, LLC
April 2, 2004 - February 1, 2005
AMHERST SECURITIES GROUP, L.P.
August 25, 1998 - October 4, 2001
TUCKER ANTHONY INCORPORATED
December 8, 1997 - September 17, 1998
AUSTIN ATLANTIC CAPITAL INC.
February 24, 1992 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
February 21, 1992 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
August 2, 1991 - October 17, 1991
CHATFIELD DEAN & 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
Current Firm
CITATION FINANCIAL GROUP, L.P.
CRD#: 28305 / SEC#: , 8-43632
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITATION MANAGEMENT GROUP INC. | CORPORATE GENERAL PARTNER | |
| JMX OF WESTERN NEW YORK, INC. | CORPORATE LIMITED PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
Disclosures
| Regulatory Event | 3 |
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.
