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Charles David Ridley

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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 1,750 registered representatives nationwide. Charles has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
U.S. Bancorp Investments, Inc. 5 years, 4 months Jul 2009 - Present
Fifth Third Securities, Inc. 9 years, 5 months Feb 2000 - Jul 2009
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 03/02/2007
General Securities Principal ExaminationSeries 24 09/24/1999
General Securities Representative ExaminationSeries 7 09/19/1987
Uniform Securities Agent State Law ExaminationSeries 63 08/21/1987

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.

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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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