Jerome L. Fritsche
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.
Jerome Louis Fritsche II, who also goes by Jerry Fritsche, was a registered financial advisor .
Jerome is a previously registered financial advisor and started their career in finance in 1972. Jerome had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2011 - January 29, 2016
CIM SECURITIES, LLC
August 2, 2010 - May 23, 2011
ANGELES CAPITAL GROUP, LLC
March 4, 2009 - May 3, 2010
RIDGEWAY & CONGER, INC.
March 3, 2009 - May 3, 2010
RIDGEWAY CONGER ADVISORY SERVICES
June 19, 2001 - March 16, 2009
ALEXANDER DUNHAM SECURITIES, INC.
June 30, 2000 - December 31, 2000
TRAVIS MORGAN SECURITIES INC.
July 15, 1998 - May 8, 2000
CAPBAY FINANCIAL SERVICES
December 4, 1996 - July 9, 1997
SMITH CULVER INVESTMENTS
January 5, 1996 - May 13, 1996
CAPBAY FINANCIAL SERVICES
May 26, 1993 - December 7, 1994
D.E. FREY & COMPANY, INC.
May 28, 1986 - June 4, 1991
NOMURA SECURITIES INTERNATIONAL, INC.
January 17, 1984 - June 20, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1982 - February 3, 1984
MORGAN STANLEY DW INC.
August 13, 1982 - November 23, 1982
BOETTCHER & COMPANY, INC.
April 22, 1980 - July 19, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
September 30, 1975 - April 3, 1980
E. F. HUTTON & COMPANY INC
May 8, 1975 - September 30, 1975
A. G. EDWARDS & SONS, INC.
May 13, 1974 - June 8, 1975
B.C. CHRISTOPHER SECURITIES CO.
April 19, 1972 - June 28, 1974
MEIS & CO INCORPORATED
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
Series 1
Date: 4/12/1972
Registered Representative ExaminationSeries 8
Date: 6/26/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CIM SECURITIES, LLC
CRD#: 120852 / SEC#: , 8-65351
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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