Heather M. Fitzgerald

FERRETTI GROUP

NEW YORK, NY 10038

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CRD#: 4427665

Professional summary

Heather Marie Fitzgerald, who also goes by Heather Marie Fitzgerald, Heather Marie Seal, is a registered financial professional 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 13 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 27, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Heather Marie Fitzgerald | Heather Marie Seal

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 Heather Marie 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

October 31, 2024 - Present

FERRETTI GROUP, INC.

Office #1: C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038

CRD#: 47768

NEW YORK, NY

Current

November 15, 2024 - Present

LIVERMORE TRADING GROUP, INC.

Office #1: 11 Wall Street, New York, NY 10005

CRD#: 32968

New York, NY

Current

March 10, 2025 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

CRD#: 279028

Mountain View, CA

Current

April 24, 2025 - Present

GLOBAL CARRY LLC

Office #1: 10 Grand Street, Ste 1800-b, Brooklyn, NY 11211

CRD#: 332522

BROOKLYN, NY

Current

September 17, 2025 - Present

MOMENT MARKETS, LLC

Office #1: 395 Hudson St. 10th Floor, New York, NY 10014

CRD#: 325062

NEW YORK, NY

Current

November 18, 2025 - Present

BLUE CAPAY VENTURES

Office #1: 575 Market Street Suite 425, San Francisco, CA 94105

CRD#: 331511

SAN FRANCISCO, CA

Current

January 27, 2026 - Present

HEG SECURITIES, LLC

Office #1: 660 Steamboat Road 4th Floor, Greenwich, CT 06830

CRD#: 330096

GREENWICH, CT

Current

February 2, 2026 - Present

MAPLEWOOD INVESTMENTS, INC.

Office #1: 12222 Merit Dr Suite 1390, Dallas, TX 75251

CRD#: 103723

Dallas, TX

Past

October 7, 2025 - February 2, 2026

VELES SECURITIES

CRD#: 332495

LAKE IN THE HILLS, IL

Past

February 28, 2023 - July 9, 2024

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

July 14, 2020 - September 13, 2022

R. F. LAFFERTY & CO., INC.

CRD#: 2498

NEW YORK, NY

Past

August 22, 2005 - February 23, 2021

SCARSDALE EQUITIES LLC

CRD#: 134602

NEW YORK, NY

Past

October 30, 2001 - August 24, 2005

BRIMBERG & CO.

CRD#: 1315

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(10/31/2024)

Exams

State Security Law Exam

Series 63

Date: 3/15/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/15/2012

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 5/7/2012

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/11/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/18/2011

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

New York Stock Exchange

Current Firm

MAPLEWOOD INVESTMENTS, INC.

MAPLEWOOD INVESTMENT ADVISORS, INC. | MAPLEWOOD INVESTMENTS, INC.

CRD#: 103723 / SEC#: , 8-52221

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

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Contact information

Main Address

12222 Merit Dr Suite 1390, Dallas, TX 75251

Mailing Address

12222 Merit Dr Suite 1390, Dallas, TX 75251

Phone number

(214) 739-5677

Established

Texas since 11/08/1999

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MAPLEWOOD HOLDINGS, LLC	SOLE SHAREHOLDER
BESEK, CYNTHIA ELIZABETH	SENIOR VICE-PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY	1669039
DOOLEY, DANIEL CLIFTON	PRESIDENT/FINOP	1699483
MOORE, LAURIE MICHELE	CHIEF COMPLIANCE OFFICER	2020784
SWOPE, ANDREA LOUISE	CEO/MUNI PRINCIPAL	5404168

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Heather M. Fitzgerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

LIVERMORE TRADING GROUP, INC.

ZANBATO SECURITIES LLC

GLOBAL CARRY LLC

MOMENT MARKETS, LLC

BLUE CAPAY VENTURES

HEG SECURITIES, LLC

MAPLEWOOD INVESTMENTS, INC.

VELES SECURITIES

SPARTAN CAPITAL SECURITIES, LLC

R. F. LAFFERTY & CO., INC.

SCARSDALE EQUITIES LLC

BRIMBERG & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2005

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/15/2012

Series 7

Date: 10/17/2001

Series 27

Date: 5/7/2012

Series 24

Date: 4/11/2011

Series 4

Date: 1/18/2011

FINRA

NYSE American LLC

New York Stock Exchange

Current Firm

MAPLEWOOD INVESTMENTS, INC.

Contact information

FINRA licenses (31 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAPLEWOOD INVESTMENTS, INC.

TRUST BUT VERIFY

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