David Martin Ritz
Professional Summary
David Martin Ritz was a registered financial advisor. David was a previously registered financial advisor and started their career in finance 1976 - 2009. David had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
50 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
FINANCIAL WEST GROUP | TORREYA CAPITAL, A DIVISION OF FINANCIAL WEST GROUP | REEDLAND CAPITAL PARTNERS, AN INSTITUTIONAL DIVISION OF FWG | PACIFIC ASSET GROUP, INC. | GELLER BIOPHARM - A HEALTH CARE INVESTMENT BANKING DIVISION FWG | FINANCIAL WEST INVESTMENT GROUP, INC. DBA FINANCIAL WEST GROUP | FINANCIAL WEST INVESTMENT GROUP, INC.
Contact Information
Main Address
1330 Lander St., Reno, NV 89509Established
California since 05/22/1985Firm Type
CorporationFiscal Year End
SeptemberFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
73Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed May 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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