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JF

John David Fritz Mr.

CRD# 1064949·Registered 1982 - 2018
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John David Fritz MR., who also goes by John David Fritz, Fritz, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1982 - 2018. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John David Fritz, Fritz

Blog Corner

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

HAMPTON HEDGE FUND MARKETING, LLC·CRD# 141685
BD
Oakton, VA
February 25, 2015 - November 2, 2018
V2V SECURITIES LLC·CRD# 131849
BD
Naples, FL
September 10, 2004 - January 26, 2015
SILVER LEAF PARTNERS, LLC·CRD# 126694
BD
New York, NY
May 13, 2004 - September 16, 2004
NARRAGANSETT BAY SECURITIES, INC.·CRD# 47971
BD
Homestead, FL
June 21, 2000 - June 1, 2004
SBC WARBURG DILLON READ INC.·CRD# 1650
BD
Stamford, CT
March 3, 1993 - August 11, 1995
DISCOUNT CORPORATION OF NEW YORK·CRD# 19757
BD
April 3, 1992 - March 2, 1993
SAMUEL MONTAGU, INC.·CRD# 13991
BD
New York, NY
October 12, 1990 - March 14, 1992
MIDLAND MONTAGU SECURITIES INC.·CRD# 18166
BD
September 27, 1989 - September 19, 1990
CHASE SECURITIES, INC.·CRD# 10793
BD
New York, MD
December 14, 1987 - July 13, 1989
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
September 24, 1982 - October 13, 1987

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Current Firm

HH
HAMPTON HEDGE FUND MARKETING, LLC

HAMPTON HEDGE FUND MARKETING, LLC

CRD#: 141685 / SEC#: 8-67406
BD
Terminated by SEC on 01/29/2019

Contact Information

Established

Virginia since 10/12/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MCGREGOR, DOUGLAS HAMPTONMEMBER/PRES/CCO1611144
KERN, JENIFER ELLENMEMBER—
WARREN, MICHAEL DENNISFINANCIAL AND OPERATIONS PRINCIPAL5178727

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2004About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Mar 1999About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2003About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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