Brandon James Grundy

Employer firm

Ridgeview Financial Planning CRD 171985

$110M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Ridgeview Financial Planning

1955 Cleveland Avenue Suite 107, Santa Rosa, CA 95401 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-06-14
TX	RA	APPROVED_RES	2023-01-27
CA	RA	APPROVED	2014-07-22

FL RA
APPROVED

Since 2023-06-14
TX RA
APPROVED_RES

Since 2023-01-27
CA RA
APPROVED

Since 2014-07-22

Branch Locations

1955 Cleveland Avenue Suite 107, Santa Rosa, CA 95401 • United States

Palm Harbor, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ridgeview Financial Planning	Santa Rosa	CA	07/2014	Present

07/2014 → Present

Ridgeview Financial Planning

Santa Rosa, CA

Previous Registrations

2009-06-15 → 2014-08-18

Charles Schwab & Co., Inc.

Santa Rosa, CA
2007-04-25 → 2009-05-08

Cuso Financial Services, L.P.

Santa Rosa, CA
2006-04-07 → 2007-04-17

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Reno, NV

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-04-06
S63	Uniform Securities Agent State Law Examination	2003-10-03

S65 Uniform Investment Adviser Law Examination

2006-04-06
S63 Uniform Securities Agent State Law Examination

2003-10-03

Designations

Certified Financial Planner

View on SEC IAPD

Employer firm

Current Employers

Ridgeview Financial Planning

Disclosures

Employment History

Previous Registrations

Exams

Designations

Nearby Firms

Nearby Investors

Nearby Offices

Reviews