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SF

Stephen M. Fitzgerald

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CRD#: 2620741
SF

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.

Stephen Michael Fitzgerald, who also goes by Stephen Fitzgerald, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 14, 1997 - September 10, 1998

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

September 6, 1996 - September 18, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

December 14, 1995 - May 1, 1996

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/29/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/1995
General Securities Representative Examination

Current Firm

WI
WINGSPAN INVESTMENT SERVICES
FIRST CHICAGO INVESTMENT SERVICES, INC. | WINGSPAN INVESTMENT SERVICES, INC. | WINGSPAN INVESTMENT SERVICES | FIRST NBD INVESTMENT SERVICES, INC. | FIRST INVESTMENT SERVICES, INC. | FIRST CHICAGO NBD INVESTMENT SERVICES, INC.

CRD#: 17516 / SEC#: , 8-35189

BD
Terminated by SEC on 12/29/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/15/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BANK ONE N.A.SHAREHOLDER
BAKER, DAVID MICHAELDIRECTOR1501951
MARKHAM, BRADFORD MICHAELSECRETARY3137543
MARTIN, KEVIN LEEFINANCIAL OFFICER2742022
MOLITOR, MARY DARLENEDIRECTOR2158011
REED, MICHAEL JOHNCHAIRMAN/CEO1553478
THOMAS, SHARLENE ANNEDIRECTOR2320855
WACHS, GARY DAVIDCOMPLIANCE DIRECTOR1208274

Disclosures

Regulatory Event3
Arbitration2

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.

Company Information

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

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