Robert W. Fritz
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.
Robert William Fritz, who also goes by Rob Fritz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2014 - September 16, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
August 13, 2014 - September 16, 2015
ALLSTATE FINANCIAL SERVICES, LLC
November 10, 1995 - April 15, 2013
RAYMOND JAMES & ASSOCIATES, INC.
November 10, 1995 - April 15, 2013
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 1993 - December 7, 1995
CITIGROUP GLOBAL MARKETS INC.
March 20, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
