Joseph D. Ritchie
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.
Joseph D Ritchie, who also goes by Joseph Drake Ritchie, Joseph Ritchie, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2006. Joseph had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2018 - December 31, 2019
DRAKE INVESTMENT OPTIONS, LLC
October 15, 2012 - December 31, 2017
DRAKE INVESTMENT OPTIONS, LLC
May 23, 2011 - September 10, 2012
BROKERSXPRESS LLC
May 23, 2011 - September 10, 2012
BROKERSXPRESS LLC
June 25, 2009 - June 7, 2011
OPPENHEIMER & CO. INC.
June 25, 2009 - June 7, 2011
OPPENHEIMER & CO. INC.
September 24, 2007 - June 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2007 - June 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2006 - April 4, 2007
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DRAKE INVESTMENT OPTIONS, LLC
CRD#: 164785 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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