Cathy T. Ridenour

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CRD#: 4007953

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.

Cathy T Ridenour, who also goes by Cathy Lynn Ridenour, Cathy T. Ridenour, Cathy Lynn Tomczyk, was a registered financial professional .

Cathy is a previously registered financial professional and started their career in finance in 1999. Cathy had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cathy Lynn Ridenour | Cathy T. Ridenour | Cathy Lynn Tomczyk

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®

None

Experience

Past

August 21, 2018 - June 7, 2019

WMG FINANCIAL ADVISORS, LLC

RIA

CRD#: 285824

Knoxville, TN

Past

January 18, 2018 - August 27, 2018

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

Knoxville, TN

Past

May 15, 2017 - November 22, 2017

OSAIC FS, INC.

RIA

CRD#: 3870

KNOXVILLE, TN

Past

August 5, 2010 - November 22, 2017

OSAIC FS, INC.

CRD#: 3870

KNOXVILLE, TN

Past

March 16, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 16, 2006 - May 10, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MARYVILLE, TN

Past

October 25, 2005 - March 31, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

October 25, 1999 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

October 25, 1999 - November 9, 2005

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

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".

WMG FINANCIAL ADVISORS, LLC

DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC

CRD#: 285824 / SEC#: 801-116718

RIA

Registered Investment Advisory firm - (6/4/2019 Approved)

Florida

Registered Investment Advisory firm - (8/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (8/23/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (8/19/2019 Terminated)

Mississippi

Registered Investment Advisory firm - (8/16/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (8/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/16/2019 Terminated)

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).

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.

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

IAR

Series 66

Date: 5/2/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WMG FINANCIAL ADVISORS, LLC

DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC

CRD#: 285824 / SEC#: 801-116718

RIA

Registered Investment Advisory firm - (6/4/2019 Approved)

Florida

Registered Investment Advisory firm - (8/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (8/23/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (8/19/2019 Terminated)

Mississippi

Registered Investment Advisory firm - (8/16/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (8/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/16/2019 Terminated)

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Contact information

Main Address

620 Mabry Hood Road Suite 101, Knoxville, TN 37932

Mailing Address

Phone number

(865) 290-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-WMG FINANCIAL ADVISORS, LLC (10/29/2025)

WMG FINANCIAL ADVISORS WRAP PROGRAM BROCHURE, LLC (10/3/2025)

Regulatory assets under management

Total Number of Accounts	1,940
AUM (Assets Under Management)	$ 614,890,081

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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Advisor Monitoring

Firm Stability Insights

Cathy T. Ridenour

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BELPOINTE ASSET MANAGEMENT LLC

OSAIC FS, INC.

OSAIC FS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

USALLIANZ SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

Primary Firm SEC Registration

WMG FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2017

Series 63

Date: 10/28/1999

SIE

Date: 11/22/2017

Series 7

Date: 1/24/2017

Series 6

Date: 10/22/1999

Current Firm

WMG FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WMG FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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