William RiddCRD Number: 1141982
Current Firm: Raymond James & Associates, Inc.
William Ridd (CRD# 1141982) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Salt Lake City, UT and has over 33 years of experience in the finance industry.
Uma Financial Services Inc.
|Raymond James & Associates||Salt Lake City, UT||Feb 2016 - Current||1|
|Ubs Financial Services Inc.||Salt Lake City, UT||Oct 1999 - Feb 2016||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1983|
|S65||NASAA Investment Advisors Law Examination||Sep 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management91,401MILLIONS
Total Number of Accounts317,837ACCOUNTS
Average Account Value$287,573
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV