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SR

Scott A. Ridge

Some features on this profile are disabled
CRD#: 1308903
SR

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.

Scott Anthony Ridge was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 4 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

October 11, 2007 - August 19, 2014

CAPACUITY SECURITIES, INC.

BD
CRD#: 15384
LAKE MARY, FL
Past

January 2, 2001 - July 16, 2007

WHARTON EQUITY CORPORATION

BD
CRD#: 10170
SWARTHMORE, PA
Past

June 30, 1993 - January 5, 2001

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

July 15, 1985 - July 28, 1993

C.A.L. INVESTMENT SERVICES INC.

BD
CRD#: 15642
SASKATCHEWAN S4P 3B1,

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
RR
Series 63
Date: 5/12/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CS
CAPACUITY SECURITIES, INC.
CAPACUITY SECURITIES, INC. | JOHNSON SECURITIES, INC.

CRD#: 15384 / SEC#: , 8-32508

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
300 International Pkwy, #350, Lake Mary, FL 32746
Mailing Address
300 International Pkwy, #350, Lake Mary, FL 32746
Phone number
(407) 949-6889
Established
Pennsylvania since 05/14/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPACUITY FINANCIAL, INC.OWNER
HOPKINS, THOMAS JOHNFINOP, POO, PFO1835087
KIRK, BRYANT WILLISPRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY1049653

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.

Company Information

CAPACUITY SECURITIES, INC.

CRD#: 15384

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