Home  >  BrightScope Advisor Pages  >  Charles David Ridley

Information

Other Names: C David Ridley, Charles David, David Ridley
Firm:
Type: Dual Registration
Description

Charles Ridley is a financial professional at U.S. Bancorp Investments, Inc., a broker-dealer with over 1,650 registered representatives nationwide. Charles has held an industry securities registration for 25 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Charles David Ridley has not answered any questions on Financial Q&A.

Top Guides

Charles David Ridley has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
U.S. Bancorp Investments, Inc. 4 years, 9 months Jul 2009 - Present
Fifth Third Securities, Inc. 9 years, 5 months Feb 2000 - Jul 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/08/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/08/2011
09/09/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 03/02/2007
General Securities Principal Examination Series 24 09/24/1999
General Securities Representative Examination Series 7 09/19/1987
Uniform Securities Agent State Law Examination Series 63 08/21/1987

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Other: 12B-1, NETWORKING & SHAREHOLDER SERVICING FEES, REVENUE SHARING