Francis X. Fitzpatrick
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.
Francis Xavier Fitzpatrick, who also goes by Frank Xavier Fitzpatrick Jr, Frank Xavier Fitzpatrick, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1980. Francis had worked at 7 firms and has passed the Series 65, Series 63, Series 3 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
November 24, 2014 - June 14, 2017
CONGRESS SPRINGS CAPITAL LLC.
June 23, 1997 - April 28, 2000
UBS FINANCIAL SERVICES INC.
June 17, 1993 - June 19, 1997
SUTRO & CO. INCORPORATED
September 4, 1990 - June 24, 1993
WELLS FARGO CLEARING SERVICES, LLC
May 24, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 13, 1984 - May 24, 1985
SUTRO & CO. INCORPORATED
October 10, 1983 - March 29, 1984
LEHMAN BROTHERS INC.
December 1, 1980 - October 10, 1983
DAVIS, SKAGGS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
CONGRESS SPRINGS CAPITAL LLC.
CRD#: 114925 / SEC#: 801-61453
Contact information
Red Flags
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