John D. Ritter
Professional summary
John David Ritter II, who also goes by John David Ritter, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John David Ritter II's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2019 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017August 22, 2017 - February 1, 2019
MIZUHO SECURITIES USA LLC
April 1, 2016 - September 27, 2016
CANACCORD GENUITY LLC
April 8, 2015 - December 23, 2015
COWEN EXECUTION SERVICES LLC
March 10, 2011 - March 4, 2015
BMO CAPITAL MARKETS CORP.
March 31, 2009 - December 13, 2010
PIPER SANDLER & CO.
June 19, 2006 - April 3, 2009
BANC OF AMERICA SECURITIES LLC
May 6, 1999 - June 8, 2006
MORGAN STANLEY & CO. LLC
February 2, 1998 - April 29, 1999
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
April 25, 1997 - October 14, 1997
NASH, WEISS & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2020)
(11/14/2019)
(11/5/2019)
(11/14/2019)
(1/15/2020)
(11/11/2020)
(2/6/2019)
(6/25/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/11/1999
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
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.
