Steven M. Finley
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 Michael Finley, who also goes by Steve Finley, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 3 firms and has passed the Series 63 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
October 19, 2017 - December 12, 2024
RIDGE CAPITAL ADVISORS, LLC
March 4, 2003 - December 31, 2005
IRON STREET SECURITIES INC.
August 31, 1999 - February 25, 2003
LOCUST STREET SECURITIES, INC.
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
RIDGE CAPITAL ADVISORS, LLC
CRD#: 283756 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 4,039,591 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
