Robert J. 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.
Robert James Fitzgerald was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 10 firms and has passed the Series 65, 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
September 30, 2011 - October 23, 2012
ASSET & FINANCIAL PLANNING, LTD
September 22, 2011 - October 23, 2012
PRIME CAPITAL SERVICES, INC.
March 11, 2008 - August 10, 2011
CHASE INVESTMENT SERVICES CORP.
December 14, 2007 - August 10, 2011
CHASE INVESTMENT SERVICES CORP.
November 7, 2006 - December 6, 2007
PRIME CAPITAL SERVICES, INC.
February 7, 2003 - May 23, 2005
21ST CENTURY FINANCIAL SERVICES, INC.
March 24, 1998 - December 13, 2002
CAPITAL ONE INVESTMENT SERVICES LLC
January 31, 1996 - January 20, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
October 6, 1994 - December 31, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
July 31, 1993 - October 18, 1994
CITIGROUP GLOBAL MARKETS INC.
May 10, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
October 26, 1992 - December 11, 1992
IDS LIFE INSURANCE COMPANY
October 26, 1992 - December 11, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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
ASSET & FINANCIAL PLANNING, LTD
CRD#: 110709 / SEC#: 801-20784
Contact information
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.
