Brian 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.
Brian John Fitzgerald, who also goes by Brian J Fitzgerald, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 31 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
October 18, 2018 - October 31, 2022
INVICTA CAPITAL LLC
April 5, 2017 - October 18, 2018
CV BROKERAGE, INC
March 11, 2011 - March 8, 2016
NEUBERGER BERMAN BD LLC
January 28, 2009 - March 8, 2016
NEUBERGER BERMAN MANAGEMENT LLC
February 28, 2008 - April 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 19, 2005 - March 3, 2008
UST SECURITIES CORP.
July 11, 2003 - August 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 28, 2003 - August 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 24, 1997 - October 12, 1999
NUVEEN SECURITIES, LLC
May 12, 1994 - April 11, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
INVICTA CAPITAL LLC
CRD#: 288101 / SEC#: , 8-69923
Contact information
FINRA licenses (36 States and Territories)
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.
