David M. Ritz

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CRD#: 827691

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.

David Martin Ritz was a registered financial advisor .

David is a previously registered financial advisor and started their career in finance in 1976. David had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

August 14, 2008 - June 18, 2009

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

May 16, 2006 - August 11, 2006

KEVIN DANN & PARTNERS, LLC

CRD#: 113591

NEW YORK, NY

Past

November 22, 2002 - April 21, 2005

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

DALLAS, TX

Past

November 21, 2002 - April 21, 2005

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

June 7, 1999 - October 28, 2002

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 1, 1997 - June 4, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

December 9, 1994 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

January 19, 1988 - November 10, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

June 19, 1984 - January 25, 1988

JEFFERIES LLC

CRD#: 2347

Past

January 29, 1980 - June 4, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

September 22, 1976 - February 25, 1980

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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: 1/29/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 5/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 9/18/1976

General Securities Representative Examination

Current Firm

FINANCIAL WEST GROUP

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.

CRD#: 16668 / SEC#: 801-57393, 8-34448

Cancelled by SEC on 09/28/2023

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Contact information

Main Address

1330 Lander St., Reno, NV 89509

Mailing Address

Phone number

Established

California since 05/22/1985

Firm type

Corporation

Fiscal year end

September

# of Employees

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
PARADOX HOLDING, INC. A NEVADA CORPORATION	SHAREHOLDER
DOYLE, JACOB MICHAEL	VICE PRESIDENT	6014279
HODGES, AL CLIFTON	BOARD MEMBER	6594701
VALENTINE, GENE CHARLES	CHIEF COMPLIANCE OFFICER	1079871
VALENTINE, GENE CHARLES	CHAIRMAN/CEO/PRESIDENT	1079871

Disclosures

Regulatory Event	73
Arbitration	7

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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Advisor Monitoring

Firm Stability Insights

David M. Ritz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEVIN DANN & PARTNERS, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

J.P. MORGAN SECURITIES LLC

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

JEFFERIES LLC

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/1992

Series 63

Date: 3/10/1980

PC

Date: 5/7/1977

Series 7

Date: 9/18/1976

Current Firm

FINANCIAL WEST GROUP

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FINANCIAL WEST GROUP

TRUST BUT VERIFY

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