Brice R. Thompson

RIDGE CAPITAL MANAGEMENT

ALPHARETTA, GA 30005

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CRD#: 4089166

Professional summary

Brice Ranier Thompson, CPWA®, who also goes by Brice R Thompson, is a registered financial advisor currently at RIDGE CAPITAL MANAGEMENT, LLC located in Alpharetta, Georgia and CETERA INVESTMENT ADVISERS LLC located in Columbus, Georgia.

Brice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brice has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brice R Thompson

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.

1) RCM, Investment Advisor Representative 2) Insurance Agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brice Ranier Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CPWA^®

Certified Private Wealth Advisor

Start date: 2017-12-26

Expire date: 2023-11-30

Experience

Current

May 14, 2018 - Present

RIDGE CAPITAL MANAGEMENT, LLC

Office #1: 1725 Windward Concourse Suite 150, Alpharetta, GA 30005

RIA

CRD#: 127200

ALPHARETTA, GA

Current

October 22, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 233 12th Street Suite 718, Columbus, GA 31901

RIA

CRD#: 105644

COLUMBUS, GA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 233 12th Street Suite 718, Columbus, GA 31901

CRD#: 10299

Columbus, GA

Past

May 9, 2018 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Columbus, GA

Past

May 8, 2018 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Columbus, GA

Past

October 17, 2011 - August 21, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

COLUMBUS, GA

Past

October 14, 2011 - August 21, 2018

CETERA ADVISORS LLC

CRD#: 10299

COLUMBUS, GA

Past

August 29, 2008 - October 19, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLUMBUS, GA

Past

August 22, 2008 - October 19, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLUMBUS, GA

Past

January 28, 2005 - August 27, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ALBANY, GA

Past

February 25, 2002 - January 31, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ALBANY, GA

Past

November 19, 2001 - January 31, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

August 22, 2000 - November 7, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 15, 2000 - August 23, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

April 13, 2000 - May 10, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/8/2022)

Florida
(9/8/2022)

IAR

Georgia
(5/14/2018)

Georgia
(9/8/2022)

New Jersey
(9/8/2022)

Ohio
(9/8/2022)

Wisconsin
(9/8/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/10/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/12/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Brice R. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brice Ranier Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

A. G. EDWARDS & SONS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2002

Series 63

Date: 3/29/2000

SIE

Date: 10/1/2018

Series 7

Date: 10/3/2000

Series 6

Date: 4/12/2000

Series 24

Date: 9/27/2005

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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