Richard J. Maertz

RESOLUTE INVESTMENT DISTRIBUTORS

Irving`, TX 75039

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CRD#: 4326032

Professional summary

Richard James Maertz II, who also goes by R. James Maertz, James Maertz, Richard James Maertz, Richard Maertz, is a registered financial professional currently at RESOLUTE INVESTMENT DISTRIBUTORS, INC. located in Irving`, Texas.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

R. James Maertz | James Maertz | Richard James Maertz | Richard Maertz

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 Richard James Maertz II'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®

None

Experience

Current

July 25, 2024 - Present

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

Office #1: 220 East Las Colinas Blvd. Suite 1200, Irving`, TX 75039

CRD#: 287788

Irving`, TX

Past

January 25, 2024 - July 15, 2024

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

December 3, 2021 - November 30, 2023

ARCSTONE SECURITIES LLC

CRD#: 306029

NEW YORK, NY

Past

May 10, 2019 - October 20, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

December 8, 2017 - April 12, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

May 19, 2014 - September 26, 2017

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

May 3, 2013 - May 29, 2014

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

TOWN AND COUNTRY, MO

Past

October 17, 2012 - April 22, 2013

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

TRABUCO CANYON, CA

Past

May 4, 2012 - August 22, 2012

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BELLEVUE, WA

Past

October 7, 2003 - May 2, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

April 3, 2001 - September 30, 2003

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

State Registrations and Notice Filings

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

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

California
(7/25/2024)

Hawaii
(7/25/2024)

Montana
(7/25/2024)

Exams

State Security Law Exam

Series 63

Date: 9/21/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/2/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788 / SEC#: , 8-69912

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

220 East Las Colinas Blvd. Ste. 1200, Irving, TX 75039

Mailing Address

220 East Las Colinas Blvd. Ste. 1200, Irving, TX 75039

Phone number

(817) 391-6100

Established

Delaware since 02/02/2017

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RESOLUTE INVESTMENT MANAGERS, INC.	SOLE SHAREHOLDER
MCKINNEY, TERRI LYNN	DIRECTOR	2967330
SEARS, CHRISTINA ELAINE	VICE PRESIDENT	2708589
STUMM, GREGORY JOHN JR.	PRESIDENT, DIRECTOR, AND CEO	4730753
WALL, STUART WESLEY	CHIEF COMPLIANCE OFFICER	2554023

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.

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Advisor Monitoring

Firm Stability Insights

Richard J. Maertz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard James Maertz II's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ARCSTONE SECURITIES LLC

FORESIDE FUND SERVICES, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

NYLIFE DISTRIBUTORS LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

PATRICK CAPITAL MARKETS, LLC

SIGNATOR FINANCIAL SERVICES, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

COREBRIDGE CAPITAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/3/2013

Series 6

Date: 4/2/2001

FINRA

Current Firm

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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