Ronald J. Ritchey
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.
Ronald Joseph Ritchey, who also goes by Ronald Joseph Ritchey Jr, Ronald Joseph Ritchey Jr., was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2021 - September 8, 2021
NEW AGE ALPHA
May 14, 2020 - September 1, 2020
REGAL INVESTMENT ADVISORS LLC
November 9, 2018 - May 13, 2020
ARBOR POINT ADVISORS
November 9, 2018 - May 13, 2020
SECURITIES AMERICA, INC.
January 5, 2017 - October 1, 2018
VOYA INVESTMENT MANAGEMENT CO. LLC
January 5, 2017 - October 1, 2018
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 31, 2014 - June 8, 2016
GUGGENHEIM INVESTMENTS
June 21, 2011 - June 8, 2016
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
October 4, 2010 - March 4, 2011
WELLS INVESTMENT SECURITIES,INC.
March 19, 2010 - October 1, 2010
BLUEROCK CAPITAL MARKETS LLC
June 28, 2007 - October 28, 2008
PACIFIC CORNERSTONE CAPITAL INCORPORATED
January 24, 2007 - June 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2004 - November 30, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 21, 2000 - November 18, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 28, 1998 - December 31, 2000
NATIONWIDE SECURITIES, LLC
Primary Firm SEC Registration
NEW AGE ALPHA
CRD#: 299011 / SEC#: 801-116789
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/3/2024
General Securities Representative ExaminationCurrent Firm
NEW AGE ALPHA
CRD#: 299011 / SEC#: 801-116789
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 32 |
| AUM (Assets Under Management) | $ 2,619,568,656 |
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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