Edward J. 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.
Edward Joseph Fitzpatrick JR, who also goes by Edward Joseph Fitzpatrick, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1979. Edward had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2015 - May 9, 2018
RICE FINANCIAL PRODUCTS COMPANY
February 22, 2001 - August 17, 2015
LOOP CAPITAL MARKETS LLC
July 25, 1979 - November 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 4/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RICE FINANCIAL PRODUCTS COMPANY
CRD#: 21606 / SEC#: , 8-39085
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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