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Neil M. Fitzpatrick

Some features on this profile are disabled
CRD#: 4060094
NF

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.

Neil Michael Fitzpatrick MR was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 2000. Neil had worked at 6 firms and has passed the Series 99TO, Series 57TO, SIE, Series 55, Series 62, Series 24 and Series 27 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.

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

September 28, 2018 - January 2, 2026

HEADLANDS TECHNOLOGIES SECURITIES, LLC

BD
CRD#: 288960
CHICAGO, IL
Past

February 28, 2011 - July 1, 2021

TD FINANCIAL PRODUCTS LLC

BD
CRD#: 154838
CHICAGO, IL
Past

December 14, 2004 - March 2, 2009

CITADEL SECURITIES LLC

BD
CRD#: 116797
CHICAGO, IL
Past

November 13, 2002 - August 13, 2004

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

October 10, 2000 - August 24, 2004

KNIGHT EXECUTION PARTNERS LLC

BD
CRD#: 104228
CHICAGO, IL
Past

February 29, 2000 - August 13, 2004

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, 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

General Industry/Product Exam
RR
Series 99TO
Date: 6/6/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/12/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 3/7/2001
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/18/2000
Financial and Operations Principal Examination

Current Firm

HT
HEADLANDS TECHNOLOGIES SECURITIES, LLC
HEADLANDS TECHNOLOGIES SECURITIES, LLC

CRD#: 288960 / SEC#: , 8-69969

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
110 N. Wacker Drive 54th Floor, Chicago, IL 60606
Mailing Address
110 N. Wacker Drive 54th Floor, Chicago, IL 60606
Phone number
(312) 601-8774
Established
Delaware since 05/08/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HEADLANDS TECH HOLDINGS, LLCHOLDING COMPANY
ANDRESEN, MATTHEW FREDERICKCEO2524246
LONG, ADAM DONALDCCO5411438
MUNROE, NICHOLAS STUARTCOO5899002
VANDER LAAN, JOHN CHARLESCFO/PFO/FINOP6591178

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

HEADLANDS TECHNOLOGIES SECURITIES, LLC

CRD#: 288960

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