Rita A. Miller
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.
Rita Ann Miller, who also goes by Rita Ann Fritzmann, Rita Ann Fritzmann Miller, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1987. Rita had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2014 - December 31, 2021
FORESIDE FUND SERVICES, LLC
September 23, 2004 - December 31, 2011
WESTMINSTER FINANCIAL SECURITIES, INC.
May 9, 2001 - May 20, 2002
UNIFIED FINANCIAL SECURITIES, LLC
January 1, 2001 - April 2, 2024
AUXIER ASSET MANAGEMENT
November 3, 1998 - July 5, 2000
PRIVATE CONSULTING GROUP, INC.
January 23, 1995 - September 3, 1998
KMS FINANCIAL SERVICES, INC.
June 24, 1994 - December 1, 1994
PHILLIPS & COMPANY
March 23, 1994 - July 20, 1994
SENTRA SECURITIES CORPORATION
August 17, 1992 - March 18, 1994
ALLSTATE FINANCIAL SERVICES, LLC
August 20, 1987 - August 10, 1992
LIVINGSTON 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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
