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Richard Vietze

Some features on this profile are disabled
CRD#: 1650687
RV

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.

Richard Vietze was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 29, 2019 - November 12, 2021

BLUEFIN RESEARCH PARTNERS, INC.

BD
CRD#: 119582
Boston, MA
Past

May 19, 2017 - April 15, 2019

WOOD (ARTHUR W.) COMPANY, INC.

BD
CRD#: 3798
Boston, MA
Past

October 9, 2013 - April 27, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BOSTON, MA
Past

June 1, 2009 - October 23, 2013

MORGAN STANLEY

BD
CRD#: 149777
BOSTON, MA
Past

April 3, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BOSTON, MA
Past

May 1, 2001 - October 25, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 5, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 7, 1997 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

February 3, 1993 - December 24, 1996

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

November 1, 1990 - January 8, 1993

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

July 7, 1987 - November 14, 1990

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1987
General Securities Representative Examination

Current Firm

BR
BLUEFIN RESEARCH PARTNERS, INC.
BLUEFIN RESEARCH PARTNERS, INC.

CRD#: 119582 / SEC#: , 8-65196

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
133 Federal St Suite 301, Boston, MA 02110
Mailing Address
133 Federal St Suite 301, Boston, MA 02110
Phone number
(617) 737-5700
Established
Delaware since 11/14/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KRITZER, BRIAN MARKMANAGING PARTNER, TREAS, FINOP1541993
PETERSON, PAUL DAVIDPRESIDENT5350638
BATTISTA, GERALD ANTHONYCHIEF COMPLIANCE OFFICER/SHAREHOLDER2823683

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.

Company Information

BLUEFIN RESEARCH PARTNERS, INC.

CRD#: 119582

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