Jerome J. Fritz
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.
Jerome John Fritz, who also goes by Jay Fritz, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1984. Jerome had worked at 5 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2010 - December 19, 2013
MACK INVESTMENT SECURITIES, INC.
March 25, 1993 - June 2, 2010
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
August 5, 1991 - December 31, 1992
LASALLE ST SECURITIES, L.L.C.
February 7, 1989 - February 17, 1990
WINGSPAN INVESTMENT SERVICES
November 21, 1984 - November 9, 1987
NORTHERN TRUST SECURITIES, INC.
Primary Firm SEC Registration
MACK INVESTMENT SECURITIES, INC.
CRD#: 17643 / SEC#: 801-29570, 8-35536
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
Current Firm
MACK INVESTMENT SECURITIES, INC.
CRD#: 17643 / SEC#: 801-29570, 8-35536
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 998 |
| AUM (Assets Under Management) | $ 263,507,750 |
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.
