Valerie R. Lemmon

RIDGEWOOD INVESTMENTS

Hermosa Beach, CA 90254

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CRD#: 4250769

Professional summary

Valerie Rubio Lemmon, who also goes by Valerie E. Rubio, is a registered financial advisor currently at RIDGEWOOD INVESTMENTS located in Hermosa Beach, California.

Valerie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Valerie has worked at 2 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Valerie E. Rubio

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.

Valerie is a partial owner of Dividend Research and Management Inc -This entity was created in October 2024 to create a holding tank for paying GDP employees and sharing administrative costs with Ridgewood.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Valerie Rubio Lemmon'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®

None

Experience

Current

March 14, 2013 - Present

RIDGEWOOD INVESTMENTS

Office #1: 205 Pier Ave Suite 104, Hermosa Beach, CA 90254

RIA

CRD#: 121220

Hermosa Beach, CA

Past

December 8, 2000 - September 19, 2001

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

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".

RIDGEWOOD INVESTMENTS

CRD#: 121220 / SEC#: 801-66378

RIA

Registered Investment Advisory firm - (3/23/2006 Approved)

California

Registered Investment Advisory firm - (3/27/2006 Terminated)

New Jersey

Registered Investment Advisory firm - (8/24/2006 Terminated)

New York

Registered Investment Advisory firm - (8/24/2006 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.

IAR

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

Highlighted states indicate IAR registrations

IAR

California
(3/14/2013)

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

General Industry/Product Exam

Series 7

Date: 12/7/2000

General Securities Representative Examination

Current Firm

RIDGEWOOD INVESTMENTS

CRD#: 121220 / SEC#: 801-66378

RIA

Registered Investment Advisory firm - (3/23/2006 Approved)

California

Registered Investment Advisory firm - (3/27/2006 Terminated)

New Jersey

Registered Investment Advisory firm - (8/24/2006 Terminated)

New York

Registered Investment Advisory firm - (8/24/2006 Terminated)

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Contact information

Main Address

623 Morris Avenue, Springfield, NJ 07081

Mailing Address

Phone number

(973) 544-6970

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

RIDGEWOOD DISCLOSURE BROCHURE (10/27/2025)

Regulatory assets under management

Total Number of Accounts	469
AUM (Assets Under Management)	$ 346,679,345

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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Valerie R. Lemmon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Valerie Rubio Lemmon's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIDGEWOOD INVESTMENTS

COWEN AND COMPANY

Primary Firm SEC Registration

RIDGEWOOD INVESTMENTS

State Registrations and Notice Filings

Exams

Series 7

Date: 12/7/2000

Current Firm

RIDGEWOOD INVESTMENTS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIDGEWOOD INVESTMENTS

TRUST BUT VERIFY

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