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RF

Richard D. Fritz

MULTI-BANK SECURITIES
Columbus, OH 43240
Some features on this profile are disabled
CRD#: 1775998
RF

Professional summary

Richard Dean Fritz, who also goes by Rick Fritz, is a registered financial professional currently at MULTI-BANK SECURITIES, INC. located in Columbus, Ohio.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Fritz

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) - BD

Click below to view Richard Dean Fritz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 30, 2022 - Present

MULTI-BANK SECURITIES, INC.

Office #1: 8700 Orion Place, Columbus, OH 43240
BD
CRD#: 22098
Columbus, OH
Past

September 3, 2021 - November 21, 2022

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
COLUMBUS, OH
Past

September 3, 2021 - November 21, 2022

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
COLUMBUS, OH
Past

March 1, 2021 - August 16, 2021

OSAIC WEALTH, INC.

RIA
CRD#: 23131
CINCINNATI, OH
Past

February 12, 2021 - August 16, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
CINCINNATI, OH
Past

October 23, 2008 - July 16, 2020

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

December 11, 2004 - October 17, 2008

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
GALENA, OH
Past

October 6, 2004 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

April 9, 2002 - October 25, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

May 13, 1999 - April 2, 2002

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

June 2, 1994 - December 31, 1998

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/2/2024)
RR
Florida
(4/17/2023)
RR
Indiana
(4/17/2023)
RR
Mississippi
(4/17/2023)
RR
Ohio
(11/30/2022)
RR
Texas
(4/17/2023)
RR
Wisconsin
(2/13/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/1/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/2005
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: 3/26/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/1/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MULTI-BANK SECURITIES, INC.
MULTI-BANK SECURITIES, INC.

CRD#: 22098 / SEC#: , 8-39547

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

Main Address
1000 Town Center #2300, Southfield, MI 48075
Mailing Address
1000 Town Center #2300, Southfield, MI 48075
Phone number
(248) 291-1100
Established
Michigan since 08/17/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MULTI-BANK SERVICES, LTD.SOLE SHAREHOLDER
DREWS, MICHAEL WAYNEVICE CHAIRMAN1664216
ELSNER, MERLIN AUBERONCCO5593423
KARSNER, MICHAEL STEPHENCHIEF FINANCIAL OFFICER/TREASURER5751851
MACCAGNONE, DAVID THOMASCEO, CHAIRMAN811479
MACCAGNONE, JEFFERY THOMASPRESIDENT/SECRETARY2077369

Disclosures

Regulatory Event4

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

MULTI-BANK SECURITIES, INC.

CRD#: 22098Columbus, OH 43240

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