John P. Fitzgerald
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.
John Paul Fitzgerald, who also goes by Jack Fitzgerald, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2007. John had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2010 - May 1, 2012
TD AMERITRADE, INC.
October 22, 2010 - May 1, 2012
TD AMERITRADE, INC.
October 22, 2010 - May 1, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 17, 2009 - November 3, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 13, 2009 - November 3, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 2, 2007 - March 16, 2009
OSAIC FA, INC.
January 24, 2007 - March 16, 2009
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
