Kelly R. Kleinsasser

RIDGE CAPITAL ADVISORS

Oro Valley, AZ 85737

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CRD#: 2127783

Professional summary

Kelly Ralph Kleinsasser, ChFC®, CLU® is a registered financial advisor currently at RIDGE CAPITAL ADVISORS, LLC located in Oro Valley, Arizona.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kelly has worked at 9 firms and has passed the Series 63, Series 34, Series 3, Series 31, Series 7, Series 30 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

CURRENTLY I AM A Partner and officer with an INSURANCE MARKETING COMPANY, Forward Strategies Insurance Brokerage. THE DUTIES I PERFORM ARE MARKETING LIFE INSURANCE & FIXED ANNUITIES TO AGENTS ACROSS THE COUNTRY. I AM IN THE OFFICE 7:00 - 4:00 MONDAY THROUGH Friday. MY DUTIES ARE NOT INVESTMENT RELATED although insurance overlaps with financial planning. I DO SPEND A GREAT DEAL OF TIME WORKING WITH FIXED and Fixed index ANNUITIES. Forward Strategies Insurance Brokerage, 10371 N. Oracle Rd. Suite 102, Oro Valley AZ 85737.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Ralph Kleinsasser's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 1, 2017 - Present

RIDGE CAPITAL ADVISORS, LLC

Office #1: 10371 N. Oracle Rd. Suite 102, Oro Valley, AZ 85737

RIA

CRD#: 283756

Oro Valley, AZ

Past

December 7, 2000 - December 31, 2001

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

September 29, 1998 - January 8, 1999

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

February 13, 1998 - July 29, 1998

MUTUAL SECURITIES, INC.

CRD#: 13092

CAMARILLO, CA

Past

July 2, 1997 - February 18, 1998

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

April 5, 1996 - May 5, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 9, 1992 - April 22, 1996

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

March 14, 1991 - November 24, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 14, 1991 - November 24, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/1/2017)

IAR

California
(11/16/2017)

IAR

Maryland
(6/14/2019)

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: 2/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 34

Date: 6/3/2011

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 5/2/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 5/23/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/13/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 7/15/2011

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 8

Date: 3/25/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RIDGE CAPITAL ADVISORS, LLC

RIDGE CAPITAL ADVISORS, LLC | RIDGE CAPITAL TRADING L.L.C.

CRD#: 283756 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2017 Approved)

California

Registered Investment Advisory firm - (11/16/2017 Approved)

Louisiana

Registered Investment Advisory firm - (12/12/2019 Terminated)

Maryland

Registered Investment Advisory firm - (6/14/2019 Approved)

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).

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Contact information

Main Address

10371 N. Oracle Rd. Suite 102, Oro Valley, AZ 85737

Mailing Address

Phone number

(520) 544-7607

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 4,039,591

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.

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Firm Stability Insights

Kelly R. Kleinsasser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Ralph Kleinsasser's CRS (Customer Relationship Summary).

Certified licenses

Experience

USALLIANZ SECURITIES, INC.

U.S. BANCORP INVESTMENTS, INC.

MUTUAL SECURITIES, INC.

BROKER DEALER FINANCIAL SERVICES CORP.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/1991

Series 34

Date: 6/3/2011

Series 3

Date: 5/2/2011

Series 31

Date: 5/23/1996

Series 7

Date: 3/13/1991

Series 30

Date: 7/15/2011

Series 8

Date: 3/25/1994

Current Firm

RIDGE CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RIDGE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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