Martin 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.
Martin Patrick Fitzgerald IV, who also goes by Martin Patrick Fitzgerald, Martin Fitzgerald, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 2016. Martin had worked at 4 firms and has passed the Series 66, SIE 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
August 9, 2022 - January 4, 2024
AE WEALTH MANAGEMENT, LLC
March 13, 2018 - January 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2018 - January 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2017 - March 21, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
December 20, 2016 - March 21, 2018
FIRST ALLIED SECURITIES, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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