Sean H. 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.
Sean Henry Fitzpatrick, who also goes by Sean H Fitzpatrick, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
July 31, 2015 - December 31, 2015
SPIRE SECURITIES, LLC
May 3, 2012 - December 3, 2014
FIRST LIBERTIES FINANCIAL
October 1, 2009 - March 28, 2012
KILDARE CAPITAL, INC.
January 17, 2003 - June 5, 2009
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - June 5, 2009
CREDIT SUISSE SECURITIES (USA) LLC
July 26, 2002 - January 17, 2003
PERSHING LLC
March 9, 2001 - January 17, 2003
PERSHING LLC
February 1, 2000 - April 6, 2001
J.P. MORGAN SECURITIES INC.
September 16, 1996 - February 1, 2000
HAMBRECHT & QUIST LLC
September 28, 1993 - May 24, 1996
ALEX. BROWN & SONS INCORPORATED
July 31, 1993 - October 22, 1993
CITIGROUP GLOBAL MARKETS INC.
April 9, 1992 - July 31, 1993
LEHMAN BROTHERS 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
SPIRE SECURITIES, LLC
CRD#: 144131 / SEC#: , 8-67635
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
