Barron S. Fitz-gerald

WELLINGTON ADAMS INVESTMENT ADVISORY

Lancaster, PA 17601

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CRD#: 2493186

Professional summary

Barron Sean Fitz-gerald, who also goes by Barron Sean Fitzgerald, is a registered financial advisor currently at WELLINGTON ADAMS INVESTMENT ADVISORY, LLC located in Lancaster, Pennsylvania.

Barron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Barron has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barron Sean Fitzgerald

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Wellington Adams Financial Group, Inc.; investment related; Located: 7 Rathton Road, York, PA 17403; Insurance Sales; Partner/Insurance Agent; 80 hours/mo, 40 during securities trading. 7 RATHTON ROAD, LLC; NON-INVESTMENT RELATED; YORK, PA; REAL ESTATE HOLDING COMPANY; 1 HOUR/MONTH; 0 HOURS DURING SECURITIES TRADING; 50% OWNER OF REAL ESTATE HOLDING COMPANY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barron Sean Fitz-gerald's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 31, 2017 - Present

WELLINGTON ADAMS INVESTMENT ADVISORY, LLC

Office #1: 1630 Manheim Pike Suite One, Lancaster, PA 17601Office #2: 7 Rathton Rd, York, PA 17403Office #3: 5000 Ritter Road Suite 202, Mechanicsburg, PA 17055

RIA

CRD#: 286055

Lancaster, PA

Past

July 28, 2016 - March 31, 2017

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

York, PA

Past

January 5, 1998 - May 26, 1998

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

August 8, 1997 - January 1, 1998

MONTROSE CAPITAL MANAGEMENT LTD.

CRD#: 40799

NEW YORK, NY

Past

June 30, 1997 - September 9, 1997

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

January 23, 1997 - July 17, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

January 1, 1997 - January 16, 1997

THE THERMOPYLAE GROUP, INC.

CRD#: 3059

NEW YORK, NY

Past

September 11, 1996 - October 1, 1996

MASON HILL & CO., INC.

CRD#: 38308

NEW YORK, NY

Past

February 15, 1996 - June 17, 1996

THE THORNWATER COMPANY, L.P.

CRD#: 36195

NEW YORK, NY

Past

September 2, 1994 - August 3, 1995

STATE CAPITAL MARKETS CORPORATION

CRD#: 13685

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(9/27/2017)

IAR

Pennsylvania
(3/31/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/1/1994

General Securities Representative Examination

Current Firm

WELLINGTON ADAMS INVESTMENT ADVISORY, LLC

CRD#: 286055 / SEC#:

Florida

Registered Investment Advisory firm - (4/13/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/31/2017 Approved)

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Contact information

Main Address

7 Rathton Rd, York, PA 17403

Mailing Address

Phone number

(855) 793-2409

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	537
AUM (Assets Under Management)	$ 53,168,879

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.

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Advisor Monitoring

Firm Stability Insights

Barron S. Fitz-gerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barron Sean Fitz-gerald's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT ADVISORS, LLC

WINDSOR STREET CAPITAL, LP

MONTROSE CAPITAL MANAGEMENT LTD.

MORGAN GRANT CAPITAL CORP.

INVESTORS ASSOCIATES, INC.

THE THERMOPYLAE GROUP, INC.

MASON HILL & CO., INC.

THE THORNWATER COMPANY, L.P.

STATE CAPITAL MARKETS CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2016

Series 63

Date: 9/22/1994

Series 7

Date: 9/1/1994

Current Firm

WELLINGTON ADAMS INVESTMENT ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WELLINGTON ADAMS INVESTMENT ADVISORY, LLC

TRUST BUT VERIFY

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