Sean R. Fitzsimmons
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.
Sean Richard Fitzsimmons, who also goes by Sean R Fitzsimmons, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1996. Sean had worked at 8 firms and has passed the Series 65, 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
November 11, 2008 - February 13, 2009
SAXONY SECURITIES, INC.
May 24, 2004 - July 21, 2006
PURSHE KAPLAN STERLING INVESTMENTS
May 5, 2004 - December 15, 2016
WESTOVER ASSET MANAGEMENT, LLC
May 7, 2002 - May 27, 2004
PARK AVENUE SECURITIES LLC
December 7, 2000 - April 17, 2002
USALLIANZ SECURITIES, INC.
September 5, 2000 - December 14, 2000
LOCUST STREET SECURITIES, INC.
April 22, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 22, 1996 - August 30, 2000
SIGNATOR INVESTORS, INC.
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
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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