Ronald R. Ritrovato
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.
Ronald Ralph Ritrovato, CFP® was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1986. Ronald had worked at 5 firms and has passed the Series 63, SIE, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1991
Experience
February 7, 2007 - June 8, 2022
CADARET, GRANT & CO., INC.
October 23, 2002 - September 23, 2003
CADARET, GRANT & CO., INC.
October 28, 1988 - June 8, 2022
CADARET, GRANT & CO., INC.
January 5, 1988 - November 16, 1988
FOCUS SECURITIES, INC.
July 17, 1987 - January 11, 1988
MONARCH INVESTMENTS INC.
April 2, 1987 - July 7, 1987
EXETER SECURITIES CORPORATION
September 16, 1986 - April 10, 1987
CONCORD ASSETS 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
