Guy P. Ridout
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.
Guy Pate Ridout JR, who also goes by Guy Pate Ridout, Guy Ridout, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1983. Guy had worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 24, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2021 - November 5, 2021
NEXT FINANCIAL GROUP, INC.
September 7, 2021 - November 5, 2021
NEXT FINANCIAL GROUP, INC.
April 19, 2010 - August 6, 2021
IPI WEALTH MANAGEMENT, INC.
April 19, 2010 - August 6, 2021
INVESTMENT PLANNERS, INC.
February 22, 2007 - April 27, 2010
CULLUM & BURKS SECURITIES, INC.
February 5, 2007 - April 27, 2010
CULLUM & BURKS SECURITIES, INC.
May 31, 2005 - December 31, 2005
FINANCIAL SYNERGIES ADVISORY, LTD.
May 17, 2005 - December 31, 2005
GIRARD SECURITIES, INC.
March 18, 2004 - May 26, 2005
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
February 25, 2004 - May 25, 2005
SUNAMERICA SECURITIES, INC.
September 19, 2002 - May 14, 2003
ASSETMARK, INC.
September 19, 2002 - April 1, 2003
ASSETMARK CAPITAL CORPORATION
August 16, 2002 - September 18, 2002
CULLUM & BURKS SECURITIES, INC.
September 7, 1999 - December 6, 1999
BRINKER CAPITAL SECURITIES, LLC
January 1, 1999 - July 20, 1999
LORING WARD SECURITIES INC.
January 27, 1995 - January 1, 1999
REINHARDT WERBA BOWEN SECURITIES, INC.
November 18, 1994 - January 30, 1995
SUNAMERICA SECURITIES, INC.
June 3, 1993 - October 27, 1994
PASADENA FUND SERVICES, INC.
July 25, 1990 - May 4, 1993
IVY DISTRIBUTORS, INC.
September 13, 1989 - June 22, 1990
TLP SECURITIES, INC.
January 21, 1988 - March 13, 1989
CIS INVESTMENT CORPORATION
June 16, 1987 - February 10, 1988
RUTLAND SECURITIES L.P.
April 4, 1986 - February 4, 1988
CHADWICK FINANCIAL GROUP, INC.
December 28, 1983 - September 22, 1986
SCOTT SECURITIES, INC.
June 30, 1983 - February 26, 1985
HUFFMAN SECURITIES COMPANY, INC.
January 12, 1983 - June 24, 1983
SOURCE SECURITIES, INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
