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JAMES A FITZGERALD
JAMES FITZGERALD
CRD#: 6095159
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 17 WEST STREEET
GOSHEN, NY 10924
GOSHEN, NY 10924
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Disclosures
8
Years of Experience
View By:
State Registrations
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Alabama 6/5/2024
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New York 5/28/2024
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Arizona 6/4/2024
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New York 5/29/2024
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California 5/28/2024
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North Carolina 6/5/2024
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Delaware 6/3/2024
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Ohio 5/28/2024
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Florida 5/29/2024
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Oregon 5/29/2024
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Illinois 6/18/2024
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Pennsylvania 5/29/2024
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Maine 5/28/2024
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South Carolina 6/3/2024
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Maryland 5/30/2024
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Tennessee 5/30/2024
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Massachusetts 5/28/2024
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Texas 5/28/2024
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Missouri 5/28/2024
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Texas 5/28/2024
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Montana 6/5/2024
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Utah 1/16/2025
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Nevada 5/30/2024
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Vermont 6/5/2024
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New Jersey 5/28/2024
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Virginia 5/29/2024
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New Mexico 5/30/2024
SRO Registrations
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Registered with this firm since 5/28/2024
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Registered with this firm since 5/28/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/25/2022 - 06/04/2024 | NEW CITY, NY | |
B | 10/04/2022 - 06/04/2024 | NEW CITY, NY | |
IA | 05/31/2021 - 01/12/2023 | GOSHEN, NY | |
B | 09/14/2015 - 03/06/2018 | UPPER SADDLE RIVER, NJ | |
B | 01/01/2013 - 09/15/2015 | UPPER SADDLE RIVER, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.