Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Fitzgerald is a financial professional with over 30 years of experience in the industry. Dennis is currently registered with RBC Capital Markets, LLC and is also registered as an Investment Advisor Representative in Texas. Dennis has been a Registered Representative since 1968. Dennis has a wide range of experience working with a diverse clientele including individuals, corporations, insurance companies, charitable organizations, pension and profit sharing plans, state and municipal government entities, and pooled investment vehicles. Previously, Dennis was employed by Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
09/20/2017 - Present
RBC Capital Markets, LLC (SEAL BEACH CA)
CA
06/09/2006 - 09/08/2017
WELLS FARGO CLEARING SERVICES, LLC (SEAL BEACH CA)
CA
06/03/1994 - 06/19/2006
CITIGROUP GLOBAL MARKETS INC. (TORRANCE CA)
NY
09/18/1987 - 06/15/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/26/1984 - 09/15/1987
PAINEWEBBER INCORPORATED
NA
04/10/1970 - 04/27/1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
IA
Issued 11/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/1978
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1990
Series 3 - National Commodity Futures Examination
BC
Issued 09/01/1978
Series 41 - NYSE Allied Member Examination
BC
Issued 12/16/1968
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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