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WF

William A. Fritz

INVICTA CAPITAL LLC
OAKMONT, PA 15139
Some features on this profile are disabled
CRD#: 1066872
WF

Professional summary

William Alfred Fritz III, who also goes by William Alfred Fritz, is a registered financial professional currently at INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

William is registered as a RR (Registered Representative) and started their career in finance in 1982. William has worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Alfred Fritz

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Alfred Fritz III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2024 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139
BD
CRD#: 288101
OAKMONT, PA
Past

July 8, 2019 - December 8, 2023

HUDSON PARTNERS SECURITIES LLC

BD
CRD#: 145425
GREENWICH, CT
Past

June 13, 2018 - June 14, 2019

MIT ASSOCIATES, LLC

BD
CRD#: 121171
TIBURON, CA
Past

May 15, 2018 - June 14, 2019

PARTNERVEST ADVISORY SERVICES LLC

RIA
CRD#: 113621
Palm Beach, FL
Past

June 28, 2016 - March 22, 2018

HIGHMORE GROUP

RIA
CRD#: 174419
Palm Beach, FL
Past

August 29, 2012 - December 4, 2015

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
BOCA RATON, FL
Past

August 8, 2012 - December 4, 2015

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOCA RATON, FL
Past

March 7, 2011 - April 1, 2011

PRESIDIO MERCHANT PARTNERS LLC

BD
CRD#: 46473
DENVER, CO
Past

November 13, 2009 - April 1, 2011

PRESIDIO CAPITAL ADVISORS LLC

RIA
CRD#: 108531
DALLAS, TX
Past

October 23, 2009 - September 3, 2010

PRESIDIO CAPITAL ADVISORS, LLC

BD
CRD#: 116284
DALLAS, TX
Past

April 15, 2004 - February 15, 2008

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
DALLAS, TX
Past

April 14, 2004 - February 15, 2008

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
DALLAS, TX
Past

January 1, 2001 - April 21, 2004

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DALLAS, TX
Past

March 6, 1995 - April 21, 2004

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 7, 1992 - March 13, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 15, 1983 - January 17, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

October 20, 1982 - March 15, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/19/2024)
RR
Texas
(1/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/3/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/9/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

IC
INVICTA CAPITAL LLC
INVICTA CAPITAL LLC

CRD#: 288101 / SEC#: , 8-69923

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
527 Cedar Way Suite 101, Oakmont, PA 15139
Mailing Address
527 Cedar Way Suite 101, Oakmont, PA 15139
Phone number
(412) 349-8684
Established
Pennsylvania since 07/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INVICTA FINANCIAL GROUPHOLDING COMPANY
GIAMBRI, PHILIP MAYNARDSHAREHOLDER1182516
TEAL, GREGORY SCOTTSHAREHOLDER4768591
PEARSON, KRISTIN MARIECHIEF COMPLIANCE OFFICER4522677

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.

Company Information

INVICTA CAPITAL LLC

CRD#: 288101Oakmont, PA 15139

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