Richard A. Fertig

BLACKRIDGE ASSET MANAGEMENT

Fairfield, CT

CRD#: 7037359

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Professional summary

Richard A Fertig, who also goes by Richard Arthur Fertig, is a registered financial advisor currently at BLACKRIDGE ASSET MANAGEMENT, LLC located in Fairfield, Connecticut and PEAK BROKERAGE SERVICES, LLC located in Redding, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Richard has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Arthur Fertig

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) - RIA

Click below to view Richard A Fertig's CRS (Customer Relationship Summary).

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

June 23, 2026 - Present

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

Fairfield, CT

Current

May 28, 2026 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 29 Giles Hill Road, Redding, CT 06875

CRD#: 157045

Redding, CT

Past

March 18, 2026 - April 30, 2026

COPLEY FINANCIAL GROUP, INC.

RIA

CRD#: 283070

Fairfield, CT

Past

December 11, 2025 - December 31, 2025

DAVENPORT & ASSOCIATES, INC.

RIA

CRD#: 327796

NORWALK, CT

Past

November 14, 2024 - December 17, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

REDDING, CT

Past

November 14, 2024 - December 17, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

REDDING, CT

Past

August 21, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Redding, CT

Past

August 21, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Redding, CT

Past

July 27, 2022 - August 10, 2023

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

ORANGE, CT

Past

July 27, 2022 - August 10, 2023

CITIZENS SECURITIES, INC.

CRD#: 39550

ORANGE, CT

Past

March 26, 2019 - July 27, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SHELTON, CT

Past

November 19, 2018 - July 27, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(6/23/2026)

IAR

Connecticut
(6/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/19/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/23/2018

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

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Contact information

Main Address

1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477

Mailing Address

Phone number

(561) 641-5050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM_ADV2A (FINAL 9.29.25) (9/29/2025)

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 196,842,156

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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Firm Stability Insights

Richard A. Fertig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A Fertig's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

COPLEY FINANCIAL GROUP, INC.

DAVENPORT & ASSOCIATES, INC.

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

BLACKRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2018

Series 7TO

Date: 11/19/2018

SIE

Date: 10/23/2018

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLACKRIDGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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