Robert M. 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.
Robert Michael Fitzgerald, who also goes by Bob Fitzgerald, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 11 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2016 - November 21, 2017
CAPITAL ANALYSTS
March 30, 2016 - November 21, 2017
LINCOLN INVESTMENT
March 11, 2016 - November 21, 2017
LINCOLN INVESTMENT
December 28, 2015 - March 14, 2016
SIGNATOR INVESTORS, INC.
September 9, 2002 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
September 1, 2000 - September 11, 2002
FIRST ALLIED SECURITIES, INC.
August 5, 1998 - September 1, 2000
CONSECO SECURITIES, INC.
May 15, 1986 - April 14, 1997
CONSECO EQUITY SALES, INC.
November 2, 1984 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
February 18, 1982 - October 30, 1989
PRUCO SECURITIES, LLC.
May 5, 1980 - May 15, 1986
VOYAGER SECURITIES, INC.
September 26, 1979 - May 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 1
Date: 9/21/1979
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
