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JF

James J. Fitzgerald

BARRINGTON RESEARCH ASSOCIATES
Chicago, IL 60601-3221
Some features on this profile are disabled
CRD#: 4320288
JF

Professional summary

James Joseph Fitzgerald is a registered financial professional currently at BARRINGTON RESEARCH ASSOCIATES, INC. located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view James Joseph Fitzgerald's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 12, 2010 - Present

BARRINGTON RESEARCH ASSOCIATES, INC.

Office #1: 161 N. Clark St., Suite 2950, Chicago, IL 60601-3221
BD
CRD#: 13820
Chicago, IL
Past

May 1, 2001 - January 14, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL
Past

January 19, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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
Illinois
(1/12/2010)
RR
Kansas
(1/12/2010)
RR
Minnesota
(1/12/2010)
RR
Missouri
(10/7/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BR
BARRINGTON RESEARCH ASSOCIATES, INC.
BARRINGTON RESEARCH ASSOCIATES, INC.

CRD#: 13820 / SEC#: , 8-29831

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

Main Address
161 N. Clark St., Suite 2950, Chicago, IL 60601-3221
Mailing Address
161 N. Clark St., Suite 2950, Chicago, IL 60601-3221
Phone number
(312) 634-6000
Established
Illinois since 06/01/1983
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALEXANDER P. PARIS REVOCABLE TRUSTTRUST
PARIS, ALEXANDER PETER JRPRESIDENT/TRUSTEE1402671
PARIS, GREGORY DAVIDEXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER2068204

Disclosures

Regulatory Event1

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

BARRINGTON RESEARCH ASSOCIATES, INC.

CRD#: 13820Chicago, IL 60601-3221

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