Joseph D. Fitzgerald
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.
Joseph Desmond Fitzgerald III, who also goes by Joseph Desmond Fitzgerald, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 8 firms and has passed the 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
January 11, 2012 - August 8, 2019
FUSION ANALYTICS SECURITIES LLC
April 17, 2007 - June 24, 2010
FUSION ANALYTICS SECURITIES LLC
July 14, 2006 - February 9, 2007
CETERA WEALTH SERVICES, LLC
January 23, 2002 - August 2, 2006
REDWOOD BROKERAGE LLC
June 19, 1997 - February 5, 2002
WEATHERLY SECURITIES CORPORATION
March 12, 1997 - May 13, 1997
CONTINENTAL BROKER-DEALER CORP.
November 16, 1995 - March 4, 1997
AMERICORP SECURITIES, INC.
October 21, 1992 - November 14, 1995
A. R. BARON & CO., INC.
September 18, 1992 - October 20, 1992
D. H. BLAIR & 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
FUSION ANALYTICS SECURITIES LLC
CRD#: 124245 / SEC#: , 8-65649
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 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.
