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RR

Robert R. Ritz

Some features on this profile are disabled
CRD#: 5650663
RR

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.

Robert R. Ritz, who also goes by Robert R. (mi Only) Ritz, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert R. (mi Only) Ritz

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.
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.

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

March 30, 2017 - July 6, 2023

D'ARCANGELO FINANCIAL GROUP, LLC

RIA
CRD#: 149613
Rome, NY
Past

July 20, 2009 - December 31, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
ROME, NY

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
IAR
Series 65
Date: 1/20/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/2009
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 6
Date: 7/17/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DF
D'ARCANGELO FINANCIAL GROUP, LLC
D'ARCANGELO FINANCIAL GROUP, LLC

CRD#: 149613 / SEC#: 801-70094

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Contact information

Main Address
200 E. Garden Street, Rome, NY 13440
Mailing Address
Po Box 4300, Rome, NY 13440
Phone number
(315) 336-9220
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

D'ARCANGELO FINANCIAL GROUP, LLC

CRD#: 149613

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