SF
Shaun Fitzpatrick
D & D SECURITIES
Philadelphia, PA 19104
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CRD#: 5152126
SF
Professional summary
Shaun Fitzpatrick is a registered financial professional currently at D & D SECURITIES, INC. located in Philadelphia, Pennsylvania.
Shaun is registered as a RR (Registered Representative) and started their career in finance in 2012. Shaun has worked at 1 firm .
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 Shaun Fitzpatrick'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
October 30, 2012 - Present
D & D SECURITIES, INC.
Office #1: 2929 Walnut Street 8th Floor, Philadelphia, PA 19104BD
CRD#: 31470
Philadelphia, PA
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
SRO Registrations
RR
Nasdaq PHLX LLC
Current Firm
D&
D & D SECURITIES, INC.
D & D SECURITIES, INC. | D AND D SECURITIES
CRD#: 31470 / SEC#: , 8-44989
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
2929 Walnut Street 8th Floor, Philadelphia, PA 19104
Mailing Address
703 North Jerome Avenue, Margate City, NJ 08402
Phone number
(609) 226-7672
Established
Pennsylvania since 02/19/1991
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Disclosures
| Regulatory Event | 16 |
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.
