Ronald Briggs has been Principal & Chief Compliance Officer of Caitlin John since April 2011, is a control person of the firm and directly owns 75% or more of it.
Caitlin John, LLC is a Brighton, MI firm with $215M under management, 602 clients and 25 advisers across 14 offices, as of its September 2026 filing.
Ronald Briggs’ longest registration is the current one, 15 years at Caitlin John since 2011. Before joining Caitlin John in 2011, Ronald Briggs was registered through Retirement Wealth Advisors, Inc.
- Peace of Mind Wealth Management– · under a yearBrighton, MI · Adviser representative · Firm CRD 317455
- A Smarter Way to InvestAlso current– present · 5 yearsBonita Springs, FL · Adviser representative · Firm CRD 166170
- A Smarter Way to Invest, Inc.– · 4 yearsBrighton, MI · Adviser representative · Firm CRD 166170
- Simplyria Advisor NetworkCurrent– present · 15 yearsBonita Springs, FL · Adviser representative · Firm CRD 154494
- Retirement Wealth Advisors, Inc.– · under a yearLivonia, MI · Adviser representative · Firm CRD 137658
Investment adviser representative registrations
Ronald Briggs is registered as an investment adviser representative in 2 states. The first approvals date from February 2011; the most recent is Florida, in December 2023.
- FloridaSince 26 December 2023
- MichiganSince 11 February 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 October 2010 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 30 July 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 October 1990 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 October 1990 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Ronald John Briggs
- CRD
- 1622903
- Firm
- Caitlin John · CRD 154494
- Role
- Principal & Chief Compliance Officer
- Office
- Bonita Springs, FL
- Registration
- Investment adviser registration
- In the industry since
- October 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Ronald Briggs work?
Ronald Briggs has been Principal & Chief Compliance Officer of Caitlin John, LLC since April 2011, and is a control person of the firm.
Is Ronald Briggs a financial advisor?
Yes. Ronald Briggs has a current investment-adviser registration in Florida and Michigan, through Caitlin John since February 2011.
How many years of experience does Ronald Briggs have?
Ronald Briggs has 15 years in the financial industry, since October 2010, across 4 adviser firms.
What exams has Ronald Briggs passed?
Ronald Briggs has passed 4 licensing exams: the Series 6, Series 63, Series 26 and Series 65. The earliest, the Series 6, was passed in October 1990.
Where did Ronald Briggs work before Caitlin John?
Before Caitlin John, Ronald Briggs was registered through Retirement Wealth Advisors, Inc., October 2010 to January 2011.
Where is Ronald Briggs based?
Ronald Briggs’ registered office is in Bonita Springs, FL.
Is Ronald Briggs registered with FINRA?
No. Ronald Briggs has no current broker registration.
How can I verify Ronald Briggs’ record?
Search CRD 1622903 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ronald Briggs’ full registration record.