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BR

Brent C. Rippe

RKCA
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 5253919
BR

Professional summary

Brent C. Rippe is a registered financial professional currently at RKCA, INC. located in Cincinnati, Ohio.

Brent is registered as a RR (Registered Representative) and started their career in finance in 2009. Brent has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brent C. Rippe'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

September 3, 2009 - Present

RKCA, INC.

Office #1: 1077 Celestial Street, Cincinnati, OH 45202Office #2: 1077 Celestial St., Cincinnati, OH 45202
BD
CRD#: 17655
CINCINNATI, OH

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(12/11/2017)
RR
Missouri
(4/22/2022)
RR
Ohio
(12/11/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RKCA, INC.
RIPPE & KINGSTON CAPITAL ADVISORS, INC. | WINTON ASSOCIATES, INC. | RKCA, INC. | RKCA

CRD#: 17655 / SEC#: , 8-35572

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1077 Celestial Street, Cincinnati, OH 45202
Mailing Address
1077 Celestial Street, Cincinnati, OH 45202
Phone number
(513) 371-5533
Established
Ohio since 01/23/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BHATTACHARYA, MONODIP SANKARMANAGING DIRECTOR6589221
COMPTON, THOMAS JOHN IIIMANAGING DIRECTOR6535588
RIPPE, BRENT C.MANAGING DIRECTOR & PRESIDENT5253919
WITT, BRANDON DAVIDPRINCIPAL FINANCIAL OFFICER (FINOP); CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER7903608

Disclosures

Regulatory Event2

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.

Company Information

RKCA, INC.

CRD#: 17655Cincinnati, OH 45202

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