GR
Gregory J. Ritter
EMERSON EQUITY LLC
Delaware, OH 43015
Some features on this profile are disabled
CRD#: 3087358
GR
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory John Ritter | Gregory Ritter
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.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Jonathan Ritter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Jonathan Ritter's 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®
NoneExperience
Current
November 10, 2010 - Present
EMERSON EQUITY LLC
Office #1: 40 North Sandusky Street Suite 300, Delaware, OH 43015RIA
BD
CRD#: 130032
Delaware, OH
Current
June 8, 2010 - Present
EMERSON EQUITY LLC
Office #1: 40 North Sandusky Street Suite 300, Delaware, OH 43015RIA
BD
CRD#: 130032
Delaware, OH
Past
April 18, 2007 - October 30, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
DELAWARE, OH
Past
December 14, 2005 - October 30, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
DELAWARE, OH
Past
June 21, 2005 - September 23, 2005
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
MONUMENT, CO
Past
June 3, 2005 - June 23, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 27, 2005 - June 27, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
December 6, 2004 - January 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GREENVILLE, OH
Past
December 6, 2004 - January 27, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 6, 2004 - January 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 7, 2001 - February 17, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
September 11, 2000 - December 7, 2000
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
October 2, 1998 - July 27, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
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)
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EE
EMERSON EQUITY LLC
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)
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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
222
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
