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William Richard Ridgway

William R. Ridgway

Some features on this profile are disabled
CRD#: 2336660
William Richard Ridgway

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.

William Richard Ridgway, CFP®, who also goes by Bill Ridgway, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1993. William had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Education Planning
Investment Planning
How do you get paid?
Commission and Fee
Are you a "fiduciary"?
No

Aliases

Bill Ridgway

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®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Past

April 4, 2008 - March 23, 2026

CAPITOL SECURITIES MANAGEMENT, INC.

RIA
CRD#: 14169
GLEN ALLEN, VA
Past

April 4, 2008 - March 23, 2026

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
GLEN ALLEN, VA
Past

April 4, 2005 - April 11, 2008

ANDERSON & STRUDWICK, INCORPORATED

RIA
CRD#: 48
RICHMOND, VA
Past

May 18, 1994 - April 4, 2005

A&S CAPITAL ADVISORS, INC.

RIA
CRD#: 108827
RICHMOND, VA
Past

April 16, 1993 - April 11, 2008

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
RICHMOND, VA

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".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.

CRD#: 14169 / SEC#: 801-41033, 8-30353

RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)
California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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
IAR
Series 65
Date: 5/17/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/23/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1993
General Securities Representative Examination

Current Firm

CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.

CRD#: 14169 / SEC#: 801-41033, 8-30353

RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)
California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170

SEC notice filing (52 States and Territories)

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

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CSM_ADV PART 2A_3.31.2025 (5/30/2025)
CSM ADV PART2A_APPENDIX 1 (WRAP PROGRAM BROCHURE)_3.31.2025 (5/30/2025)

Direct owners and executive officers

NamePositionCRD#
CS FINANCIAL GROUP INC.HOLDING COMPANY
HALLBERG, KATHERINE ROSECHIEF COMPLIANCE OFFICER5016264
JIANOS, JOSEPH ARISTOTLECHAIRMAN & CEO1374020
WALLACE, JAMES LOUISCHIEF OPERATING OFFICER2099074
WETHERELL, EDWARD LEECHIEF STRATEGY OFFICER2159349
ZUBOV, IRINADIRECTOR OF FINANCE5166218

Regulatory assets under management

Total Number of Accounts3,745
AUM (Assets Under Management)$ 1,818,741,357

Disclosures

Regulatory Event10
Arbitration2

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

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

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