Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 10, 2017 indicate that former New Hampshire-based Waddell & Reed broker/adviser Curtis Ridlon has received pending regulatory and customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ridlon (CRD# 1405226).
Curtis Ridlon has spent 31 years in the securities industry and was most recently registered with Waddell & Reed in Bedford, New Hampshire (1985-2016). He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 22 (Direct Participation Programs Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Curtis Ridlon has received one customer complaint, one regulatory sanction, one pending customer complaint, and one pending regulatory sanction.