Michael A. Ridley
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.
Michael Allen Ridley was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1982. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2023 - June 2, 2025
CADARET, GRANT & CO., INC.
October 13, 2017 - December 13, 2023
WOODBURY FINANCIAL SERVICES, INC.
January 22, 2009 - October 13, 2017
NATIONAL PLANNING CORPORATION
October 31, 2005 - January 26, 2009
OSAIC SERVICES, INC.
October 22, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 23, 1999 - October 20, 2004
MML INVESTORS SERVICES, LLC
November 29, 1996 - November 5, 1998
EMPOWER FINANCIAL SERVICES, INC.
October 12, 1993 - November 29, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
June 22, 1984 - October 20, 2004
MML INVESTORS SERVICES, LLC
October 26, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
