Noah J. Ritchie

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CRD#: 4858195

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.

Noah James Ritchie was a registered financial professional .

Noah is a previously registered financial professional and started their career in finance in 2004. Noah had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 14, 2018 - January 31, 2020

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031

CHICAGO, IL

Past

December 27, 2016 - June 1, 2018

MAREX CAPITAL MARKETS INC.

CRD#: 161014

Chicago, IL

Past

November 3, 2014 - December 8, 2016

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031

CHICAGO, IL

Past

January 3, 2012 - October 9, 2014

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

July 2, 2010 - January 3, 2012

FOX RIVER EXECUTION TECHNOLOGY, LLC

CRD#: 133549

GENEVA, IL

Past

July 15, 2009 - October 27, 2010

CRT TRADING, LLC

CRD#: 44713

GENEVA, IL

Past

April 30, 2008 - July 10, 2009

FOX RIVER EXECUTION TECHNOLOGY, LLC

CRD#: 133549

GENEVA, IL

Past

April 1, 2008 - April 30, 2008

CRT TRADING, LLC

CRD#: 44713

GENEVA, IL

Past

November 19, 2004 - September 2, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GENEVA, IL

Past

November 3, 2004 - September 2, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/28/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/18/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/21/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/2/2004

General Securities Representative Examination

Current Firm

DASH FINANCIAL TECHNOLOGIES LLC

DASH FINANCIAL LLC | ELECTRONIC BROKERAGE SYSTEMS, LLC | ELECTRONIC BROKERAGE SYSTEMS, INC. | DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031 / SEC#: , 8-52503

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

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Contact information

Main Address

200 S.wacker Drive Suite 2450, Chicago, IL 60606

Mailing Address

200 S.wacker Drive Suite 2450, Chicago, IL 60606

Phone number

(312) 986-2006

Established

Delaware since 12/18/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DFT INTERMEDIATE LLC	MEMBER
BUTLER, JACLYN LEIGH	CHIEF COMPLIANCE OFFICER	4175577
LONGOBARDI, JEREMY	FINOP	6694598
MILITO, STINO MARIO	PRESIDENT	4072644
MILLER, TIMOTHY PATRICK	CHIEF OPERATING OFFICER	5175547

Disclosures

Regulatory Event

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

Noah J. Ritchie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MAREX CAPITAL MARKETS INC.

DASH FINANCIAL TECHNOLOGIES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

FOX RIVER EXECUTION TECHNOLOGY, LLC

CRT TRADING, LLC

FOX RIVER EXECUTION TECHNOLOGY, LLC

CRT TRADING, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/28/2008

Series 66

Date: 11/18/2004

SIE

Date: 10/1/2018

Series 55

Date: 8/21/2008

Series 7

Date: 11/2/2004

Current Firm

DASH FINANCIAL TECHNOLOGIES LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DASH FINANCIAL TECHNOLOGIES LLC

TRUST BUT VERIFY

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