Alan D. Ritvo
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.
Alan D Ritvo, who also goes by Alan David Ritvo, Alan Ritvo, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1991. Alan had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 4 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
October 2, 2007 - October 24, 2012
WALNUT STREET SECURITIES, INC.
April 6, 2000 - October 18, 2012
VANTAGE FINANCIAL GROUP, INC.
March 3, 2000 - October 24, 2012
WALNUT STREET SECURITIES, INC.
January 26, 1995 - March 3, 2000
LPL FINANCIAL LLC
April 15, 1993 - February 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 4, 1992 - April 7, 1993
CARILLON INVESTMENTS, INC.
January 18, 1991 - June 3, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 18, 1991 - June 3, 1992
SIGNATOR INVESTORS, INC.
January 1, 1991 - January 25, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 1, 1991 - January 25, 1991
EQUITABLE ADVISORS, LLC
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
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
