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RR

Ronald J. Ritchey

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 3046347
RR

Professional summary

Ronald Joseph Ritchey, who also goes by Ronald Joseph Ritchey Jr, Ronald Joseph Ritchey Jr., is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1998. Ronald has worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald Joseph Ritchey Jr | Ronald Joseph Ritchey Jr.

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) - BD

Click below to view Ronald Joseph Ritchey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 20, 2026 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

July 27, 2021 - September 8, 2021

NEW AGE ALPHA

RIA
CRD#: 299011
New Albany, OH
Past

May 14, 2020 - September 1, 2020

REGAL INVESTMENT ADVISORS LLC

RIA
CRD#: 125004
Columbus, OH
Past

November 9, 2018 - May 13, 2020

ARBOR POINT ADVISORS

RIA
CRD#: 165127
COLUMBUS, OH
Past

November 9, 2018 - May 13, 2020

SECURITIES AMERICA, INC.

BD
CRD#: 10205
COLUMBUS, OH
Past

January 5, 2017 - October 1, 2018

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
Westerville, OH
Past

January 5, 2017 - October 1, 2018

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

October 31, 2014 - June 8, 2016

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
WESTERVILLE,, OH
Past

June 21, 2011 - June 8, 2016

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

October 4, 2010 - March 4, 2011

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

March 19, 2010 - October 1, 2010

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
NEW YORK, NY
Past

June 28, 2007 - October 28, 2008

PACIFIC CORNERSTONE CAPITAL INCORPORATED

BD
CRD#: 40397
SANTA ANA, CA
Past

January 24, 2007 - June 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 16, 2004 - November 30, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

December 21, 2000 - November 18, 2004

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

April 28, 1998 - December 31, 2000

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH

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
IAR
Series 65
Date: 10/24/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/27/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

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

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
ALVAREZ, KAREN LOUFINANCIAL OPERATIONS4044938
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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