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HF

Heather Fitzgerald

FERRETTI GROUP

NEW YORK, NY

·CRD# 4427665·25 years experience

Professional Summary

Heather Fitzgerald, who also goes by Heather Marie Fitzgerald, Heather Marie Seal, is a registered financial advisor currently at FERRETTI GROUP, INC. located in New York, New York and LIVERMORE TRADING GROUP, INC. located in New York, New York. Heather is registered as a RR (Registered Representative) and started their career in finance in 2001. Heather has worked at 15 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Heather Marie Fitzgerald, Heather Marie Seal

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

FERRETTI GROUP, INC.·CRD# 47768

BD

C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038

October 31, 2024 - Present

LIVERMORE TRADING GROUP, INC.·CRD# 32968

BD

11 Wall Street, New York, NY 10005

November 15, 2024 - Present

ZANBATO SECURITIES LLC·CRD# 279028

BD

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

March 10, 2025 - Present

GLOBAL CARRY LLC·CRD# 332522

BD

10 Grand Street, Ste 1800-b, Brooklyn, NY 11211

April 24, 2025 - Present

MOMENT MARKETS, LLC·CRD# 325062

BD

395 Hudson St. 10th Floor, New York, NY 10014

September 17, 2025 - Present

HEG SECURITIES, LLC·CRD# 330096

BD

660 Steamboat Road 4th Floor, Greenwich, CT 06830

January 27, 2026 - Present

OPTIMAL MARKET TECHNOLOGIES, LLC·CRD# 336439

BD

One World Trade Center Suite 47m, New York, NY 10007

March 16, 2026 - Present

CONCHO TRANSACTIONS·CRD# 339157

BD

30 Umbria Ln, Spring, TX 77382

July 7, 2026 - Present

MAPLEWOOD INVESTMENTS, INC.·CRD# 103723

BD

Dallas, TX

February 2, 2026 - July 17, 2026

BLUE CAPAY VENTURES·CRD# 331511

BD

San Francisco, CA

November 18, 2025 - April 14, 2026

VELES SECURITIES·CRD# 332495

BD

Lake In The Hills, IL

October 7, 2025 - February 2, 2026

SPARTAN CAPITAL SECURITIES, LLC·CRD# 146251

BD

New York, NY

February 28, 2023 - July 9, 2024

R. F. LAFFERTY & CO., INC.·CRD# 2498

BD

New York, NY

July 14, 2020 - September 13, 2022

SCARSDALE EQUITIES LLC·CRD# 134602

BD

New York, NY

August 22, 2005 - February 23, 2021

BRIMBERG & CO.·CRD# 1315

BD

New York, NY

October 30, 2001 - August 24, 2005

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Current Firm

CT

CONCHO TRANSACTIONS

CONCHO TRANSACTIONS | CONCHO TRANSACTIONS LLC

CRD#: 339157 / SEC#: 8-71462

BD

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

30 Umbria Ln, Spring, TX 77382

Mailing Address

30 Umbria Ln, Spring, TX 77382

Phone Number

(786) 778-8748

Established

Texas since 02/08/2024

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

Name	Position	CRD#
DALBY, TAYLOR RICHARD	MANAGING DIRECTOR	6691330
CHRISTOFILIS, CHARLES ANTHONY	CHIEF COMPLIANCE OFFICER, AMLCO	1518196
FITZGERALD, HEATHER	FINOP	4427665

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(10/8/2026)

RR

New York
(10/31/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2005About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Oct 2012

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed May 2012About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Apr 2011About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Jan 2011About the Series 4 exam

BOX Exchange LLC

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

Nasdaq Texas, LLC

SRO Registrations

New York Stock Exchange

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Heather Fitzgerald's CRS (Customer Relationship Summary).

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HF

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