Lawrence M. Ridge

Some features on this profile are disabled

CRD#: 1253428

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.

Lawrence Michael Ridge, who also goes by Larry Ridge, Lawrence Michael Ridge, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1984. Lawrence had worked at 16 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Ridge | Lawrence Michael Ridge

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

May 1, 2018 - April 24, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

CHARLOTTE, NC

Past

March 4, 2002 - May 9, 2018

VINING-SPARKS IBG, LLC

CRD#: 27502

CHARLOTTE, NC

Past

December 11, 2001 - March 6, 2002

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

September 22, 2000 - January 7, 2002

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

November 26, 1996 - September 6, 2000

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

March 2, 1993 - October 31, 1996

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

March 15, 1991 - February 23, 1993

MARCUS, STOWELL & BEYE, INC.

CRD#: 7038

FORT LAUDERDALE, FL

Past

March 15, 1991 - February 23, 1993

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

CRD#: 19184

FORT LAUDERDALE, FL

Past

February 9, 1989 - May 8, 1989

LEHWALD, OROSEY & PEPE INCORPORATED

CRD#: 16677

BOCA RATON, FL

Past

July 28, 1988 - February 17, 1989

NATWEST CAPITAL MARKETS SECURITIES INC.

CRD#: 19718

Past

June 24, 1988 - February 17, 1989

WESTMINSTER RESEARCH ASSOCIATES LLC

CRD#: 14508

STAMFORD, CT

Past

November 25, 1987 - May 31, 1988

WESTCAP SECURITIES, L.P.

CRD#: 7301

Past

July 2, 1987 - November 19, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 28, 1985 - June 19, 1987

TMA GOVERNMENT SECURITIES, LTD.

CRD#: 15196

Past

March 13, 1985 - July 16, 1985

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

September 11, 1984 - March 1, 1985

CRALIN & CO., INC.

CRD#: 7605

Past

May 23, 1984 - August 27, 1984

FITZGERALD, DEARMAN & ROBERTS, INC.

CRD#: 317

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/17/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 4/17/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 4/17/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lawrence M. Ridge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VINING-SPARKS IBG, LLC

MESIROW FINANCIAL, INC.

ADVEST, INC.

VINING-SPARKS IBG, LLC

WACHOVIA SECURITIES, INC.

MARCUS, STOWELL & BEYE, INC.

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

LEHWALD, OROSEY & PEPE INCORPORATED

NATWEST CAPITAL MARKETS SECURITIES INC.

WESTMINSTER RESEARCH ASSOCIATES LLC

WESTCAP SECURITIES, L.P.

INTEGRATED RESOURCES EQUITY CORPORATION

TMA GOVERNMENT SECURITIES, LTD.

DREXEL BURNHAM LAMBERT INCORPORATED

CRALIN & CO., INC.

FITZGERALD, DEARMAN & ROBERTS, INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/7/1984

Series 7TO

Date: 4/17/2024

Series 79TO

Date: 4/17/2024

SIE

Date: 4/17/2024

Series 7

Date: 5/19/1984

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

Similar Advisors