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Robert R. Ritz

CRD# 5650663·Registered 2009 - 2023
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert R. Ritz, who also goes by Robert R. (mi Only) Ritz, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 2009 - 2023. Robert had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert R. (mi Only) Ritz

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

17 years in the financial services industry

Current & Past Employments

D'ARCANGELO FINANCIAL GROUP, LLC·CRD# 149613
RIA
Rome, NY
March 30, 2017 - July 6, 2023
OSAIC WEALTH, INC.·CRD# 23131
BD
Rome, NY
July 20, 2009 - December 31, 2021

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Current Firm

DF
D'ARCANGELO FINANCIAL GROUP, LLC

D'ARCANGELO FINANCIAL GROUP, LLC

CRD#: 149613 / SEC#: 801-70094

Contact Information

Main Address

200 E. Garden Street, Rome, NY 13440

Mailing Address

Po Box 4300, Rome, NY 13440

Phone Number

(315) 336-9220

# of Employees

1

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1. TREASURER OF ROME COMMUNITY FOUNDATION, NOT INVESTMENT RELATED,301 N WASHINGTON ST. ROME,NY 13440,BOARD MEMBER SERVING AS TREASURER, STARTED THIS ACTIVITY: 6/1/06,1 HR/MO,1 HR/TD,KEEPING THE BOOKS FOR THE ORGANIZATION AND MAKING SURE THE 990 AND FINANCIAL STATEMENTS ARE PREPARED. 2. CPA,NOT INVESTMENT RELATED,D'ARCANGELO & CO., PARTNERSHIP, 200 E. GARDEN ST. ROME, NY 13440,PARTNER,STARTED THIS ACTIVITY: 10/3/94, 2200 HR/YR, 1500 PER YR DURING SECURITIES TRADING HOURS,MANAGE AND ACCOUNTING PRACTICE. 3. AFFILIATED WITH D'ARCANGELO FINANCIAL GROUP, AN INDEPENDENT RIA, YES,2717 GENESEE STREET, UTICA, NEW YORK 13501,6/2009, 5HRS/MONTH, 5HRS DT, REVIEWS THE FINANCIAL SITUATION OF POTENTIAL CLIENTS TO EVALUATE IF THEY MAY BE A CANDIDATE FOR DISCRETIONARY FEE-BASED INVESTMENT MANAGEMENT. 4.TREASURER, FRIENDS OF ROANN DESTITO. NOT INVESTMENT RELATED. 1001 GARDEN ROAD, UTICA, NEW YORK 13501. STARTED THIS ACTIVITY JULY, 2010. SPENDS 2 HOURS/MONTH, ALL DURING TRADING HOURS. RECORDS RECEIPTS AND DISBURSEMENTS. PREPARES CAMPAIGN FINANCIAL DISCLOSURE FORM FILED WITH THE NEW YORK STATE BOARD OF ELECTIONS. 5. EAST GARDEN PARTNERS; NOT INVESTMENT-RELATED; 200 E GARDEN ST., ROME, NY 13440; PARTNER; STARTED 01/2005; 2 HOURS/2 SECURITIES HOURS; PAY BILLS, RECORD DEPOSITS, RECONCILE CASH AND PREPARE THE TAX RETURN. 6. ND GARDEN PARTNERS, LLC; NOT INVESTMENT-RELATED; 120 LOMOND CT., UTICA, NY 13501; PARTNER; STARTED 01/2009; 0 HOURS/ 0 SECURITIES HOURS; NO DUTIES. ONLY SHARE IN THE PROFITS OF THE RENTS COLLECTED FROM THIS PROPERTY.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2010About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2009About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2009About the Series 6 exam

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CRS (Client Relationship Summary)

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

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