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GR

Gregory Jonathan Ritter

EMERSON EQUITY

DELAWARE, OH

·CRD# 3087358·28 years experience

Professional Summary

Gregory Jonathan Ritter, who also goes by Gregory John Ritter, Gregory Ritter, is a registered financial advisor currently at EMERSON EQUITY LLC located in Delaware, Ohio. Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gregory has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Gregory John Ritter, Gregory Ritter

Blog Corner

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What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

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Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

EMERSON EQUITY LLC·CRD# 130032

RIA

BD

40 North Sandusky Street Suite 300, Delaware, OH 43015

November 10, 2010 - Present

EMERSON EQUITY LLC·CRD# 130032

RIA

BD

40 North Sandusky Street Suite 300, Delaware, OH 43015

June 8, 2010 - Present

CHASE INVESTMENT SERVICES CORP.·CRD# 25574

RIA

Delaware, OH

April 18, 2007 - October 30, 2009

CHASE INVESTMENT SERVICES CORP.·CRD# 25574

BD

Delaware, OH

December 14, 2005 - October 30, 2009

ADVISORS ASSET MANAGEMENT, INC.·CRD# 46727

BD

Monument, CO

June 21, 2005 - September 23, 2005

MORGAN STANLEY DW INC.·CRD# 7556

BD

Purchase, NY

June 3, 2005 - June 23, 2005

NEW ENGLAND SECURITIES·CRD# 615

BD

New York, NY

January 27, 2005 - June 27, 2005

AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363

RIA

Greenville, OH

December 6, 2004 - January 27, 2005

IDS LIFE INSURANCE COMPANY·CRD# 6321

BD

Minneapolis, MN

December 6, 2004 - January 27, 2005

AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363

BD

Minneapolis, MN

December 6, 2004 - January 27, 2005

NATIONWIDE INVESTMENT SERVICES CORPORATION·CRD# 7110

BD

Columbus, OH

June 7, 2001 - February 17, 2004

EDWARD JONES·CRD# 250

BD

St. Louis, MO

September 11, 2000 - December 7, 2000

SIGNATOR INVESTORS, INC.·CRD# 468

BD

Boston, MA

October 2, 1998 - July 27, 2000

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Current Firm

EE

EMERSON EQUITY LLC

DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC

CRD#: 130032 / SEC#: 801-120835, 8-66296

RIA

Registered Investment Advisory firm - SEC (4/16/2021 Approved)

California

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (9/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/12/2023 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/16/2022 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

155 Bovet Road, Suite 725, San Mateo, CA 94402

Mailing Address

155 Bovet Road, Suite 725, San Mateo, CA 94402

Phone Number

(650) 312-0200

Established

California since 10/10/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

# of Employees

343

SEC notice filing (34 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (4/8/2026)

Direct owners and executive officers

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory Assets Under Management

Total Number of Accounts

682

AUM (Assets Under Management)

$321,704,653

Disclosures

Regulatory Event

2

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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.

NAME OF OTHER BUSINESS: FAMILY FINANCIAL OF CENTRAL OHIO; IS BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 40 N. SANDUSKY STREET, STE 300; DELAWARE, OHIO 43015; NATURE OF OTHER BUSINESS: ENTITY USED MARKET SECURITIES RELATED BUSINESS AND INSURANCE RELATED BUSINESS THROUGH REGISTERED BROKER DEALER; POSITION: MANAGING PARTNER; STATE DATE: 06/02/2010; APPROXIMATE HOURS DEVOTED DURING OTHER BUSINESS: CONSISTENT WITH HOURS SPENT WORKING FOR BROKER DEALER; HOURS DEVOTED DURING SECURITIES TRADING HOURS: CONSISTENT WITH HOURS SPEND WORKING FOR BROKER DEALER. NAME OF OTHER BUSINESS: N/A: APPLICANT WRITES HEALTH INSURANCE. IS BUSINESS INVESTMENT RELATED: NO. ADDRESS OF OTHER BUSINESS: 49 N. SANDUSKY STREET, DELAWARE, OHIO 43015. NATURE OF OTHER BUSINESS: PROVIDING HEALTH INSURANCE POLICIES TO PROSPECTS. POSITION: SALES. STATE DATE: OCTOBER 2010 HOURS PER MONTH: 6 HRS PER MONTH HOURS DURING TRADING HOURS: LESS THAN 1 PER DAY.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EE

EMERSON EQUITY LLC

DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC

CRD#: 130032 / SEC#: 801-120835, 8-66296

RIA

Registered Investment Advisory firm - SEC (4/16/2021 Approved)

California

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (9/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/12/2023 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/16/2022 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(7/21/2026)

RR

Florida
(2/20/2014)

RR

Georgia
(3/11/2022)

RR

Illinois
(8/3/2021)

RR

Indiana
(6/24/2020)

RR

Ohio
(6/15/2010)

IAR

Ohio
(11/10/2010)

RR

Tennessee
(8/5/2020)

RR

Texas
(6/14/2010)

RR

West Virginia
(1/10/2024)

RR

Wisconsin
(5/9/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1998About the Series 6 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Gregory Jonathan Ritter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gregory Jonathan Ritter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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GR

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