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Thomas M. Rittweger

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CRD#: 2489427
TR

Professional summary

Thomas Michael Rittweger was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Thomas had worked at 1 firm, which includes SUMMIT EQUITIES INC..

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

September 16, 1994 - December 23, 1997

SUMMIT EQUITIES, INC.

BD
CRD#: 11039
PARSIPPANY, NJ

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: 12/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/29/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SE
SUMMIT EQUITIES, INC.
ARMENTI PLANNING CO. | THE PRIVATE CLIENT GROUP LLC | THE IOLA FINANCIAL GROUP | THE FAMILY WEALTH INSTITUTE | THE ESSEX GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT EQUITIES, INC. | SUMMIT EQUITIES INC | SPARTAN FINANCIAL GROUP LLC | REX GLOBAL WEALTH MANAGEMENT | PHARMAEXECUTIVE WEALTH ADVISERS | NOLAN WEALTH MANAGEMENT LLC | NATIONAL WEALTH ADVISORS | LEROY WEALTH MANAGEMENT GROUP | INTEGRATED WEALTH MANAGEMENT | HF ADVISORS | GOLDENTHAL & SUSS FINANCIAL SERVICES INC. | FINANCIAL PRODUCTS, INC. | FAMILY WEALTH PLANNING | EXECUTIVE WEALTH PLANNING GROUP | CONWAY WEALTH GROUP LLC

CRD#: 11039 / SEC#: 801-39162, 8-27556

BD
Terminated by SEC on 01/28/2019
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Contact information

Main Address
4 Campus Dr, Parsippany, NJ 07054-0413
Mailing Address
Phone number
Established
New Jersey since 02/22/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WEISS, CRAIG BARRYCHIEF COMPLIANCE OFFICER2354195

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SUMMIT EQUITIES, INC.

CRD#: 11039

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