Helen L. Ridberg
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.
Helen Linda Ridberg was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1974. Helen had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - October 14, 2015
CANTONE RESEARCH INC.
August 3, 2004 - November 24, 2014
W.A. CAPITAL MARKETS
March 10, 2004 - August 3, 2004
RAFFERTY CAPITAL MARKETS, LLC
December 24, 1985 - April 30, 2004
J.J. KENNY DRAKE, INC.
September 16, 1977 - December 27, 1983
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1977 - September 28, 1984
WOLFE & HURST SECURITIES INC.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
May 9, 1974 - August 27, 1976
HALSEY, STUART & CO., 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
Series 1
Date: 5/6/1974
Registered Representative ExaminationCurrent Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
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.
