Herald L. Ritch
Professional summary
Herald Lavern Ritch, who also goes by Hal Ritch, Harry Ritch, Sparky Ritch, is a registered financial professional currently at DC ADVISORY located in New York, New York.
Herald is registered as a RR (Registered Representative) and started their career in finance in 1976. Herald has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Herald Lavern Ritch's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2004 - Present
DC ADVISORY
Office #1: 605 Third Avenue 11th Floor, New York, NY 10158Office #2: 605 Third Avenue 11th Floor, New York, NY 10158November 6, 2003 - May 25, 2004
LEGACY PARTNERS GROUP, LLC
December 11, 2000 - May 16, 2003
CITIGROUP GLOBAL MARKETS INC.
November 3, 2000 - November 17, 2000
CREDIT SUISSE SECURITIES (USA) LLC
November 18, 1994 - November 20, 2000
PERSHING LLC
September 1, 1983 - March 2, 1988
KIDDER, PEABODY & CO. INCORPORATED
February 24, 1978 - October 8, 1983
MORGAN STANLEY DW INC.
September 1, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
