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SR

Sinclair M. Ridley-thomas

WEILD & CO.
Boulder, CO 80303
Some features on this profile are disabled
CRD#: 6534591
SR

Professional summary

Sinclair Mark Ridley-thomas, who also goes by Sinclair Mark Ridley-thomas, is a registered financial professional currently at WEILD & CO. located in Boulder, Colorado.

Sinclair is registered as a RR (Registered Representative) and started their career in finance in 2015. Sinclair has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sinclair Mark Ridley-Thomas

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 Sinclair Mark Ridley-thomas'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, 2024 - Present

WEILD & CO.

Office #1: 777 29th Street Suite 402, Boulder, CO 80303
BD
CRD#: 132398
Boulder, CO
Past

May 8, 2024 - September 9, 2024

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
SAN FRANCISCO, CA
Past

July 19, 2022 - May 13, 2024

UBS SECURITIES LLC

BD
CRD#: 7654
SAN FRANCISCO, CA
Past

December 23, 2020 - June 22, 2022

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN FRANCISCO, CA
Past

July 11, 2017 - October 6, 2020

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
SAN FRANCISCO, CA
Past

November 4, 2015 - July 5, 2017

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA

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
California
(9/3/2024)
RR
Colorado
(9/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/8/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/28/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/4/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

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

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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

WEILD & CO.

CRD#: 132398Boulder, CO 80303

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