Brett S. 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.
Brett Scott Fitzgerald was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1997. Brett had worked at 8 firms and has passed the Series 63, SIE 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
January 5, 2015 - December 3, 2018
MOSAIC CAPITAL, LLC
August 19, 2014 - April 23, 2015
BAYES CAPITAL LLC
February 10, 2014 - November 11, 2014
LPE SECURITIES, LLC
May 27, 2010 - November 19, 2013
GFI SECURITIES LLC
January 21, 2009 - June 2, 2010
MIDSOUTH CAPITAL, INC.
September 1, 2005 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
November 21, 2000 - August 29, 2005
TRUIST SECURITIES, INC.
January 2, 1998 - April 6, 1999
TRUIST SECURITIES, INC.
February 19, 1997 - January 2, 1998
SUNTRUST CAPITAL MARKETS, 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
MOSAIC CAPITAL, LLC
CRD#: 171587 / SEC#: , 8-69469
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
