Robert D. Ridgley
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.
Robert Dean Ridgley was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2020 - June 7, 2022
OCTAVIA WEALTH ADVISORS LLC
June 12, 2020 - June 7, 2022
PURSHE KAPLAN STERLING INVESTMENTS
June 13, 2014 - July 10, 2020
EQUITABLE ADVISORS, LLC
March 17, 2014 - July 10, 2020
EQUITABLE ADVISORS, LLC
January 24, 2003 - November 1, 2004
EQUITABLE ADVISORS, LLC
October 25, 2000 - November 1, 2004
EQUITABLE ADVISORS, LLC
September 11, 1985 - November 10, 1986
CARILLON INVESTMENTS, INC.
Primary Firm SEC Registration
OCTAVIA WEALTH ADVISORS LLC
CRD#: 306909 / SEC#: 801-118078
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
OCTAVIA WEALTH ADVISORS LLC
CRD#: 306909 / SEC#: 801-118078
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,332 |
| AUM (Assets Under Management) | $ 1,789,186,080 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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