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Neal A. Ritter

SEI INVESTMENTS DISTRIBUTION CO.
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 5562965
NR

Professional summary

Neal Alexander Ritter, who also goes by Neal Alexander Ritter, Neal A Ritter, is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Chicago, Illinois.

Neal is registered as a RR (Registered Representative) and started their career in finance in 2008. Neal has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Neal Alexander Ritter | Neal A 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Alexander 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®
None

Experience

Current

December 4, 2020 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: 351 West Hubbard Street Suite 501, Chicago, IL 60654
BD
CRD#: 10690
Chicago, IL
Past

December 5, 2019 - December 1, 2020

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

RIA
CRD#: 106060
Chicago, IL
Past

June 4, 2018 - July 12, 2019

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

March 13, 2018 - June 1, 2018

DESTRA CAPITAL ADVISORS LLC

RIA
CRD#: 148574
Chicago, IL
Past

October 13, 2014 - June 1, 2018

DESTRA CAPITAL INVESTMENTS LLC

BD
CRD#: 148299
BOZEMAN, MT
Past

May 1, 2013 - June 25, 2014

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
LISLE, IL
Past

August 14, 2008 - November 6, 2012

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL

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
Pennsylvania
(12/4/2020)
RR
Tennessee
(12/4/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/29/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SEI INVESTMENTS DISTRIBUTION CO.
SEI FINANCIAL SERVICES COMPANY | SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690 / SEC#: , 8-27897

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

Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
One Freedom Valley Drive, Oaks, PA 19456
Phone number
(610) 676-1000
Established
Pennsylvania since 07/20/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SEI INVESTMENTS COMPANYSHAREHOLDER
CAMPISI, JENNIFER HICKMANCHIEF COMPLIANCE OFFICER, ASST SECRETARY5299753
COARY, JOHN PATRICKTREASURER, CFO2551648
CROWE, KEVIN FRANCISDIRECTOR2109967
DORAN, WILLIAM MDIRECTOR1476724
KLAUDER, PAUL FRANCISDIRECTOR, PRESIDENT, CEO2474240
MCGHIN, JASON MICHAELCOO3119188
MUNCH, JOHN CHARLESSECRETARY, GENERAL COUNSEL4739576

Disclosures

Regulatory Event4

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

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690Chicago, IL 60654

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