Stephen J. Ridge
Professional summary
Stephen Joseph Ridge, who also goes by Stephen J Ridge, Stephen Joseph Ridge, Stephen Ridge, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Nottingham, Maryland and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Stephen has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Joseph Ridge's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2021 - Present
EMPOWER ADVISORY GROUP, LLC
April 14, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111December 26, 2019 - September 28, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 26, 2019 - September 28, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
August 21, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 14, 2007 - February 26, 2018
SCOTTRADE, INC.
December 7, 2006 - February 9, 2007
PARK AVENUE SECURITIES LLC
March 30, 2005 - February 9, 2007
PARK AVENUE SECURITIES LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2021)
(5/17/2021)
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(5/1/2024)
(3/31/2021)
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(4/23/2021)
(6/4/2021)
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(4/19/2021)
Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
