SF
Sean J. Fitzgerald
TRADINGBLOCK
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3213166
SF
Professional summary
Sean J Fitzgerald is a registered financial professional currently at TRADINGBLOCK located in Chicago, Illinois.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Sean J Fitzgerald'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®
NoneExperience
Current
August 1, 2016 - Present
TRADINGBLOCK
Office #1: 311 S. Wacker Dr., Ste 1775, Chicago, IL 60606BD
CRD#: 128605
Chicago, IL
Past
January 7, 2013 - August 1, 2016
E*TRADE FUTURES LLC
BD
CRD#: 145562
CHICAGO, IL
Past
November 29, 2010 - December 13, 2012
OPTIONSXPRESS, INC.
BD
CRD#: 103849
CHICAGO, IL
Past
August 1, 2006 - December 13, 2006
MCCLENDON, MORRISON & PARTNERS, INC.
BD
CRD#: 14684
CHICAGO, IL
Past
April 1, 2002 - November 10, 2009
TERRA NOVA FINANCIAL, LLC
BD
CRD#: 37761
CHICAGO, IL
Past
March 22, 2000 - August 15, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/1/2016)
RR
Alaska(8/1/2016)
RR
Arizona(8/1/2016)
RR
Arkansas(8/1/2016)
RR
California(8/1/2016)
RR
Colorado(8/1/2016)
RR
Connecticut(8/1/2016)
RR
Delaware(8/1/2016)
RR
District of Columbia(8/1/2016)
RR
Florida(8/1/2016)
RR
Georgia(8/1/2016)
RR
Hawaii(8/1/2016)
RR
Idaho(8/1/2016)
RR
Illinois(8/1/2016)
RR
Indiana(8/1/2016)
RR
Iowa(8/1/2016)
RR
Kansas(8/1/2016)
RR
Kentucky(8/1/2016)
RR
Louisiana(8/1/2016)
RR
Maine(8/1/2016)
RR
Maryland(8/1/2016)
RR
Massachusetts(8/1/2016)
RR
Michigan(8/1/2016)
RR
Minnesota(8/1/2016)
RR
Mississippi(8/1/2016)
RR
Missouri(8/1/2016)
RR
Montana(8/1/2016)
RR
Nebraska(8/1/2016)
RR
Nevada(8/1/2016)
RR
New Hampshire(8/1/2016)
RR
New Jersey(8/1/2016)
RR
New Mexico(8/1/2016)
RR
New York(8/1/2016)
RR
North Carolina(8/1/2016)
RR
North Dakota(8/1/2016)
RR
Ohio(8/1/2016)
RR
Oklahoma(8/1/2016)
RR
Oregon(8/1/2016)
RR
Pennsylvania(8/1/2016)
RR
Rhode Island(8/1/2016)
RR
South Carolina(8/1/2016)
RR
South Dakota(8/1/2016)
RR
Tennessee(8/1/2016)
RR
Texas(8/1/2016)
RR
Utah(8/1/2016)
RR
Vermont(8/1/2016)
RR
Virginia(8/1/2016)
RR
Washington(8/1/2016)
RR
West Virginia(8/1/2016)
RR
Wisconsin(8/1/2016)
RR
Wyoming(8/1/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK
CRD#: 128605 / SEC#: , 8-66163
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
