Marvin W. Ritchie

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CRD#: 2632463

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.

Marvin Wayne Ritchie JR was a registered financial professional .

Marvin is a previously registered financial professional and started their career in finance in 1996. Marvin had worked at 10 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

December 9, 2021 - February 4, 2025

BAKER TILLY CAPITAL, LLC

CRD#: 115333

Tewksbury, MA

Past

November 10, 2021 - December 6, 2021

MFA SECURITIES, LLC

CRD#: 173273

Tewksbury, MA

Past

April 29, 2019 - March 30, 2020

MFA SECURITIES, LLC

CRD#: 173273

Tewksbury, MA

Past

June 30, 2017 - March 25, 2019

MIRUS SECURITIES, INC.

CRD#: 29075

BURLINGTON, MA

Past

August 12, 2008 - September 14, 2017

METRIC FINANCIAL, LLC

CRD#: 33324

Boston, MA

Past

April 17, 2008 - May 1, 2008

ALIRA HEALTH TRANSACTION SERVICES, LLC

CRD#: 140203

FRAMINGHAM, MA

Past

April 12, 2004 - August 18, 2004

NORTHERN CAPITAL SECURITIES CORPORATION

CRD#: 40659

NORTH ANDOVER, MA

Past

April 25, 2002 - July 18, 2002

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

September 10, 1999 - August 7, 2001

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

May 29, 1998 - August 19, 1999

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 3, 1996 - May 27, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

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

Series 63

Date: 10/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2007

General Securities Representative Examination

Current Firm

BAKER TILLY CAPITAL, LLC

BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC

CRD#: 115333 / SEC#: , 8-53480

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

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Contact information

Main Address

4807 Innovate Lane, Madison, WI 53718

Mailing Address

Po Box 7398, Madison, WI 53707-7398

Phone number

(800) 362-7301

Established

Wisconsin since 09/22/1999

Firm type

Limited Liability Company

Fiscal year end

May

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BAKER TILLY ADVISORY GROUP, LP	MANAGING MEMBER
INDA, TYLER RONALD	PRESIDENT	6478455
OLSON, BARBARA R	CHIEF COMPLIANCE OFFICER	6715742
STEWART, SCOTT ALEXANDER	FINOP, POO, PFO	6977422

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Marvin W. Ritchie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MFA SECURITIES, LLC

MFA SECURITIES, LLC

MIRUS SECURITIES, INC.

METRIC FINANCIAL, LLC

ALIRA HEALTH TRANSACTION SERVICES, LLC

NORTHERN CAPITAL SECURITIES CORPORATION

GLEACHER & COMPANY SECURITIES, INC.

CANACCORD GENUITY LLC

J.P. MORGAN SECURITIES LLC

FINANCIAL SQUARE PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2007

Current Firm

BAKER TILLY CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BAKER TILLY CAPITAL, LLC

TRUST BUT VERIFY

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