Paul H. 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.
Paul Henry Fitzgerald, who also goes by Paul H Fitzgerald, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1975. Paul had worked at 15 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2002 - April 28, 2002
JOSEPHTHAL & CO., INC.
January 2, 2002 - May 6, 2002
OPPENHEIMER & CO. INC.
February 4, 2000 - November 30, 2001
WESTERN SECURITIES CLEARING CORP.
September 22, 1999 - November 27, 2001
TRADE-WELL DISCOUNT INVESTING, LLC.
September 30, 1997 - October 30, 1998
TRADE-WELL DISCOUNT INVESTING, LLC.
October 27, 1994 - August 23, 2001
FIRST ALLIED SECURITIES, INC.
August 25, 1994 - December 5, 2001
DUNCAN CAPITAL LLC
August 24, 1994 - October 14, 1994
ACCESS FINANCIAL GROUP, INC.
April 1, 1993 - March 14, 1997
EARLYBIRDCAPITAL, INC.
December 1, 1992 - March 17, 1993
REICH & CO., INC.
September 14, 1992 - January 2, 2002
JOSEPHTHAL & CO., INC.
September 24, 1991 - December 1, 1992
REICH & CO., INC.
March 2, 1990 - November 18, 1991
PRENTICE SECURITIES, INCORPORATED
March 7, 1989 - October 10, 1991
DOMINICK & DICKERMAN LLC
January 9, 1986 - March 6, 1989
MANUFACTURERS HANOVER SECURITIES CORPORATION
December 2, 1983 - December 16, 1985
REUTERS C CORPORATION
September 25, 1975 - January 30, 1986
THOMSON MCKINNON SECURITIES 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
Series 12
Date: 9/16/1975
NYSE Branch Manager ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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.
