Brett A. 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 Antoni Fitzgerald, who also goes by Brett 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, Series 7TO, SIE, Series 55 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
July 22, 2022 - October 4, 2022
B. RILEY WEALTH MANAGEMENT
August 17, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
June 1, 2016 - November 10, 2016
DAWSON JAMES SECURITIES, INC.
June 10, 2013 - May 24, 2016
DAWSON JAMES SECURITIES, INC.
May 22, 2009 - December 17, 2012
LIVINGSTON MONROE CAPITAL GROUP INC.
February 26, 2008 - May 28, 2009
DAWSON JAMES SECURITIES, INC.
January 29, 2007 - February 26, 2008
W.A. CAPITAL MARKETS
June 16, 2003 - February 1, 2007
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
June 11, 2002 - June 16, 2003
LADENBURG THALMANN & CO. INC.
June 9, 2000 - August 27, 2002
LADENBURG CAPITAL MANAGEMENT INC.
September 22, 1997 - September 2, 1999
LADENBURG CAPITAL MANAGEMENT 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
Series 7TO
Date: 8/17/2020
General Securities Representative ExaminationSeries 55
Date: 5/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
