Jonathan E. Ritter
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.
Jonathan Edward Ritter was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1985. Jonathan had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2020 - January 27, 2025
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 23, 2013 - April 1, 2020
PRUCO SECURITIES, LLC.
August 18, 2011 - April 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 2011 - April 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2008 - March 28, 2011
CAPITAL ONE INVESTMENT SERVICES LLC
May 3, 2005 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
December 7, 1999 - May 2, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 2, 1985 - December 7, 1999
WS GRIFFITH SECURITIES, INC.
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
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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