Steven A. Ridpath
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.
Steven Albert Ridpath, who also goes by Steven A Nidpath, Steven A Ridpath, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2018 - November 2, 2020
AVANTAX ADVISORY SERVICES
May 3, 2018 - November 2, 2020
AVANTAX INVESTMENT SERVICES, INC.
August 30, 2016 - February 23, 2018
AVANTAX ADVISORY SERVICES
August 30, 2016 - February 23, 2018
AVANTAX INVESTMENT SERVICES, INC.
October 21, 2008 - August 31, 2016
1ST GLOBAL ADVISORS INC
September 30, 2008 - August 31, 2016
1ST GLOBAL CAPITAL CORP.
December 5, 1995 - September 12, 2001
CORNERSTONE INVESTMENTS, L.L.C.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
