Charles J. Ritchie
Professional summary
Charles Jackson Ritchie III, who also goes by Chad Ritchie, Charles Jackson Ritchie, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Jackson Ritchie III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2021 - Present
B. RILEY SECURITIES, INC.
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171July 10, 2013 - June 14, 2021
WILLIAMS TRADING LLC
October 19, 2012 - July 11, 2013
WEILD & CO.
July 8, 2010 - October 19, 2012
THINKEQUITY LLC
November 30, 2009 - March 22, 2010
CANACCORD GENUITY SECURITIES LLC
April 26, 2007 - April 21, 2008
PACIFIC CENTURY SECURITIES, LLC
December 14, 2005 - February 10, 2009
SOLEIL SECURITIES CORPORATION
January 2, 2002 - December 6, 2005
FULCRUM GLOBAL PARTNERS LLC
February 23, 2000 - January 11, 2002
GLEACHER & COMPANY SECURITIES, INC.
March 25, 1999 - May 12, 2003
ACN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/16/2021)
Exams
FINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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