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RV

Richard J. Vitale

THE M & A GROUP LLC
STILLWATER, MN 55082
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CRD#: 4752484
RV

Professional summary


Richard James Vitale, who also goes by Richard J VItale, Rick J Vitale, is a registered financial professional currently at THE M & A GROUP LLC located in Stillwater, Minnesota.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2015. Richard has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Richard J Vitale | Rick J Vitale

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 Vitale'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

June 22, 2023 - Present

THE M & A GROUP LLC

Office #1: 512 Liberty Parkway, Stillwater, MN 55082
BD
CRD#: 144909
STILLWATER, MN
Past

June 21, 2022 - May 23, 2023

INVESTX MARKETS LLC

BD
CRD#: 148248
NEW YORK, NY
Past

July 5, 2017 - June 23, 2022

THE M & A GROUP LLC

BD
CRD#: 144909
STILLWATER, MN
Past

November 9, 2016 - February 16, 2017

HARTMAN REAL ASSETS SECURITIES, INC

BD
CRD#: 282619
Houston, TX
Past

August 11, 2015 - January 3, 2017

D.H. HILL SECURITIES, LLLP

BD
CRD#: 41528
KINGWOOD, TX

State Registrations and Notice Filings


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

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
Alabama
(6/22/2023)
RR
Alaska
(6/22/2023)
RR
Arizona
(6/22/2023)
RR
Arkansas
(6/22/2023)
RR
California
(6/22/2023)
RR
Colorado
(6/22/2023)
RR
Connecticut
(6/22/2023)
RR
Delaware
(6/22/2023)
RR
District of Columbia
(6/22/2023)
RR
Florida
(6/22/2023)
RR
Georgia
(6/22/2023)
RR
Hawaii
(6/22/2023)
RR
Idaho
(6/22/2023)
RR
Illinois
(6/22/2023)
RR
Indiana
(6/22/2023)
RR
Iowa
(6/22/2023)
RR
Kansas
(6/22/2023)
RR
Kentucky
(6/22/2023)
RR
Louisiana
(6/22/2023)
RR
Maine
(6/22/2023)
RR
Maryland
(6/22/2023)
RR
Massachusetts
(6/22/2023)
RR
Michigan
(6/22/2023)
RR
Minnesota
(6/22/2023)
RR
Mississippi
(6/22/2023)
RR
Missouri
(6/22/2023)
RR
Montana
(6/22/2023)
RR
Nebraska
(6/22/2023)
RR
Nevada
(6/22/2023)
RR
New Hampshire
(6/22/2023)
RR
New Jersey
(6/22/2023)
RR
New Mexico
(6/22/2023)
RR
New York
(6/22/2023)
RR
North Carolina
(6/22/2023)
RR
North Dakota
(6/22/2023)
RR
Ohio
(6/22/2023)
RR
Oklahoma
(6/22/2023)
RR
Oregon
(6/22/2023)
RR
Pennsylvania
(6/22/2023)
RR
Rhode Island
(6/22/2023)
RR
South Carolina
(6/22/2023)
RR
South Dakota
(6/22/2023)
RR
Tennessee
(6/22/2023)
RR
Texas
(6/22/2023)
RR
Utah
(6/22/2023)
RR
Vermont
(6/22/2023)
RR
Virginia
(6/22/2023)
RR
Washington
(6/22/2023)
RR
West Virginia
(6/22/2023)
RR
Wisconsin
(6/22/2023)
RR
Wyoming
(6/22/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 1/4/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


TM
THE M & A GROUP LLC
LAKEPOINTE CAPITAL ADVISORS LLC | THE M & A GROUP LLC | THE M & A GROUP - SORENSEN FREELAND PARTNERS, LLC

CRD#: 144909 / SEC#: , 8-67684

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


Main Address
512 Liberty Parkway, Stillwater, MN 55082
Mailing Address
512 Liberty Parkway, Stillwater, MN 55082
Phone number
(651) 430-3220
Established
Minnesota since 10/18/2006
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


Direct owners and executive officers


NamePositionCRD#
SORENSEN, IVAR W.FINOP5679179
VITALE, RICHARD JAMESEXECTUIVE REPRESENTATIVE/CEO/CCO4752484

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


THE M & A GROUP LLC

CRD#: 144909Stillwater, MN 55082

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