Siobhan C. 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.
Siobhan Carroll Fitzgerald, who also goes by Siobhan Fitzgerald, was a registered financial professional .
Siobhan is a previously registered financial professional and started their career in finance in 1993. Siobhan had worked at 16 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2012 - February 28, 2013
LPL FINANCIAL LLC
January 18, 2011 - March 6, 2012
WESTON SECURITIES CORPORATION
July 28, 2010 - November 4, 2010
BOFA DISTRIBUTORS, INC.
December 8, 2009 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2007 - December 11, 2007
INVESTORS CAPITAL CORP.
October 9, 2006 - November 9, 2006
FORESIDE DISTRIBUTION SERVICES, L.P.
December 8, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 8, 2003 - July 28, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 25, 2000 - February 11, 2003
QUICK & REILLY, INC.
July 21, 2000 - September 25, 2000
FIS SECURITIES, INC.
July 21, 1999 - July 13, 2000
CITIZENS SECURITIES, INC.
October 15, 1997 - June 28, 1999
FIDELITY BROKERAGE SERVICES LLC
October 10, 1995 - October 15, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
June 27, 1994 - March 1, 1995
MORGAN STANLEY DW INC.
February 18, 1994 - May 31, 1994
CITIGROUP GLOBAL MARKETS INC.
April 6, 1993 - October 28, 1993
BAYBANKS BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
