TF
Thomas J. Fitzpatrick
MADISON AVENUE SECURITIES
Ocean View, NJ 08230
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CRD#: 5492019
TF
Professional summary
Thomas J. Fitzpatrick, CFP® is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Ocean View, New Jersey.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) Name: Residential Rental; Address: 4907 Haven Ave Ocean City, NJ 08226; Investment Related: No; Position: Manager; Duties: Management, sign lease, etc. Minimal time; Hours Per Week: Less Than an Hour; Start Date: 5/1/2015; 2.) Name: Fitzpatrick Bongiovanni & Kelly, PC; Address: 293 S Shore Rd Marmora, NJ 08223; Investment Related: No; Position: CPA, tax preparer, financial planning; Duties: Tax work mostly during tax season; Hours Per Week: 10 Hours; Start Date: 01/1997; 3.) Name: Rosie Glasses Investments, LLC; Address: 4907 Haven Ave Ocean city NJ 08226; Investment Related: No; Position: Management; Duties: Buying and selling property, manage improvements; Hours Per Week: Less than an hour; Start Date: 8/23/2017; 4.) Name: Insurance Sales; Investment Related: No; Position & Duties: Referral; Hours Per Week: Less than an hour; Start Date: 10/2003; 5.) Name: Oxford Retirement Advisors; Address: 1314 Rt 9 Ocean View NJ 08230; Investment Related: Yes; Position & Duties: Investment Representative; Hours Per Week: 20 Hours; Start Date: 10/7/2024 Insurance License - NJ - 1014957 - Life, Accident & Health or Sickness, Variable Life and Variable Annuity
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J. Fitzpatrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas J. 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®
CFP®
Start date: 1990
Experience
Current
October 7, 2024 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1314 Route 9, Ocean View, NJ 08230RIA
BD
CRD#: 23224
Ocean View, NJ
Current
October 7, 2024 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1314 Route 9, Ocean View, NJ 08230RIA
BD
CRD#: 23224
Ocean View, NJ
Past
August 23, 2024 - October 9, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
Ocean View, NJ
Past
October 10, 2018 - October 9, 2024
OSAIC ADVISORY SERVICES, LLC
RIA
CRD#: 171070
Ocean View, NJ
Past
October 5, 2018 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Ocean View, NJ
Past
January 3, 2018 - October 8, 2018
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
OCEAN VIEW, NJ
Past
February 9, 2016 - October 8, 2018
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
OCEAN VIEW, NJ
Past
November 17, 2015 - October 8, 2018
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Ocean View, NJ
Past
March 4, 2008 - December 11, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
MARMORA, NJ
Past
February 19, 2008 - December 11, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
MARMORA, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(10/7/2024)
IAR
Florida(10/8/2024)
RR
New Jersey(10/7/2024)
IAR
New Jersey(10/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Ocean View, NJ 08230TRUST BUT VERIFY
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