Thomas J. 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.
Thomas James Ritter SR, who also goes by Thomas James Ritter, Tom Ritter, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
April 23, 2019 - April 9, 2021
CHANNEL ISLANDS GROUP
November 24, 2015 - February 19, 2019
WADDELL & REED
November 16, 2015 - February 19, 2019
WADDELL & REED
November 16, 2015 - February 19, 2019
IVY DISTRIBUTORS, INC.
June 4, 2012 - November 4, 2015
CAPITAL ANALYSTS
June 1, 2012 - November 4, 2015
LINCOLN INVESTMENT
June 1, 2012 - November 4, 2015
LINCOLN INVESTMENT
May 25, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
May 24, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
February 6, 2008 - May 18, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 18, 2007 - May 18, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 23, 2005 - April 19, 2007
LEGEND EQUITIES CORPORATION
September 9, 2003 - January 18, 2005
PARK AVENUE SECURITIES LLC
July 21, 1999 - June 23, 2003
SIGNATOR FINANCIAL SERVICES, INC.
March 16, 1990 - May 13, 1999
DONAHUE SECURITIES, INC.
November 6, 1987 - March 6, 1990
MARKETING ONE SECURITIES, INC.
December 1, 1986 - January 1, 1988
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
CHANNEL ISLANDS GROUP
CRD#: 168868 / SEC#: 801-80798
Contact information
Red Flags
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