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Herald Lavern Ritch

DC Advisory

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About Herald Lavern Ritch

Herald Lavern Ritch is a financial professional with over 40 years of experience in the industry. Herald currently works at DC Advisory, a firm based in New York. Previously, Herald has worked at firms such as Legacy Partners Group, LLC, Citigroup Global Markets Inc., Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation, Kidder, Peabody & Co. Incorporated, Dean Witter Reynolds Inc., and Dean Witter & Co. Incorporated. Herald is a Series 7, Series 24, Series 63 and Series 79TO licensed professional.

Firm Information

Herald Ritch is currently registered with DC Advisory. DC Advisory is a Limited Liability Company that was formed on April 1, 2012. The firm is registered in California, District of Columbia, Illinois, and New York. It has one approved SEC registration and four approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

80

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Herald Ritch’s Registration & Firm History

NY

05/24/2004 - Present

DC Advisory (NEW YORK NY)

DC

11/06/2003 - 05/25/2004

LEGACY PARTNERS GROUP, LLC (WASHINGTON DC)

NY

12/11/2000 - 05/16/2003

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NJ

11/18/1994 - 11/20/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

11/03/2000 - 11/17/2000

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

09/01/1983 - 03/02/1988

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

02/24/1978 - 10/08/1983

DEAN WITTER REYNOLDS INC.

NA

09/01/1976 - 02/24/1978

DEAN WITTER & CO. INCORPORATED

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Licenses & Designations

BC

Issued 07/30/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/10/1995

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/1976

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Herald Lavern Ritch.
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