Michael T. Richards
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Thomas Richards, who also goes by Mick Richards, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2006 - December 31, 2021
FELTL & COMPANY
January 6, 1997 - November 3, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
September 4, 1992 - January 10, 1997
MORGAN STANLEY DW INC.
September 28, 1982 - October 24, 1990
SECURITIES RESOLUTION CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
