BG
Brandon J. Grundy
RIDGEVIEW FINANCIAL PLANNING
Santa Rosa, CA 95401
CRD#: 4687607
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BG
Brandon James GrundyRIDGEVIEW FINANCIAL PLANNING
Professional summary
Brandon James Grundy, CFP® is a registered financial advisor currently at RIDGEVIEW FINANCIAL PLANNING located in Santa Rosa, California.
Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brandon has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Core Areas of Focus
Hourly
Investment Advice with Ongoing Management
Investment Advice without Ongoing Management
Retirement Plan Investment Advice
Socially Responsible Investments
Tax Planning
Biography
Brandon Grundy is the founder and Principal of Ridgeview Financial Planning. He has over ten years of experience within the financial services industry, managing investments for clients and helping them plan their financial future. During this time he has worked for brokerage firms, conducted workshops, and worked with a variety of clients. Brandon has a passion for planning and investment management and felt compelled to start Ridgeview Financial Planning after growing frustrated with the state of the financial services industry. The balance had shifted too far away from clients so Brandon decided to do something about it.
FAMILY & PERSONAL
Brandon is very happily married (15 years) and a father of two beautiful children. When not spending time with his family he enjoys being outdoors, playing music, and distance running. Brandon is an ultra marathon runner and has completed events up to 100K, with aspirations for longer distances. But after all his running, Brandon's funnest event yet was a local 10K with his wife and kids.
EDUCATION
Brandon also has a passion for education and strives to continually learn and improve himself. He has earned a BS/Finance and holds the following securities licenses: 63 & 65. He has held the Series 6, 7, 9, 10, and California insurance license.
Brandon is a NAPFA-Registered Financial Advisor and a Certified Financial Planner®. CFP® professionals earn this industry-leading designation by completing education and testing requirements, as well as ongoing requirements for continuing education. CFPs also adhere to a Code of Conduct and a Code of Ethics (see below).
Question & Answer
What are your service offerings?
Insurance Planning
Estate Planning
Retirement Planning
Debt Management
Education Planning
Divorce Planning
Tax Planning
Investment Planning
Comprehensive Financial Planni...
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brandon James Grundy's 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®
CFP®
Start date: 2012
Experience
Current
July 22, 2014 - Present
RIDGEVIEW FINANCIAL PLANNING
Office #1: 1955 Cleveland Avenue Suite 107, Santa Rosa, CA 95401RIA
CRD#: 171985
Santa Rosa, CA
Past
June 15, 2009 - August 18, 2014
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SANTA ROSA, CA
Past
June 15, 2009 - August 18, 2014
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SANTA ROSA, CA
Past
April 25, 2007 - May 8, 2009
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SANTA ROSA, CA
Past
April 20, 2007 - May 8, 2009
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SANTA ROSA, CA
Past
April 12, 2006 - April 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RENO, NV
Past
April 7, 2006 - April 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RENO, NV
Past
September 29, 2003 - January 3, 2006
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
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(7/22/2014)
IAR
Florida(6/14/2023)
IAR
Texas(1/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RIDGEVIEW FINANCIAL PLANNING
GRUNDY, BRANDON JAMES | RIDGEVIEW FINANCIAL PLANNING, INC. | RIDGEVIEW FINANCIAL PLANNING | RIDGEVIEW FINANCIAL MANAGEMENT
CRD#: 171985 / SEC#:
California
Registered Investment Advisory firm - (7/22/2014 Approved)Florida
Registered Investment Advisory firm - (6/14/2023 Approved)Texas
Registered Investment Advisory firm - (1/27/2023 Conditional Restricted)Loading...
Contact information
Main Address
1955 Cleveland Avenue Suite 107, Santa Rosa, CA 95401
Mailing Address
Phone number
(707) 800-6050
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 368 |
| AUM (Assets Under Management) | $ 102,957,075 |
Red Flags
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Company Information
RIDGEVIEW FINANCIAL PLANNING
CRD#: 171985Santa Rosa, CA 95401TRUST BUT VERIFY
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Contact information
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