Steven B. Richardson

J.H. DARBIE & CO.

Florham Park, NJ 07932

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CRD#: 1074713

Professional summary

Steven Brady Richardson is a registered financial professional currently at J.H. DARBIE & CO., INC. located in Florham Park, New Jersey.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Brady Richardson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 2, 2023 - Present

J.H. DARBIE & CO., INC.

Office #1: 215 Ridgedale Ave Ste 104, Florham Park, NJ 07932

RIA

CRD#: 43520

Florham Park, NJ

Past

April 20, 2018 - May 15, 2023

KENNETH, JEROME & CO.,INC.

CRD#: 15541

FLORHAM PARK, NJ

Past

September 11, 2003 - February 26, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTFIELD, NJ

Past

October 1, 1999 - February 26, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WESTFIELD, NJ

Past

January 1, 1991 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

February 9, 1990 - January 1, 1991

BUTCHER & SINGER INC.

CRD#: 6517

Past

May 22, 1989 - February 15, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 25, 1985 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

July 21, 1983 - April 10, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

CRD#: 6971

Past

November 24, 1982 - July 25, 1983

HANAUER, STERN & COMPANY,INCORPORATED

CRD#: 7077

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/31/2023)

Florida
(5/8/2023)

Georgia
(5/4/2023)

Massachusetts
(9/1/2023)

Nevada
(5/26/2023)

New Jersey
(5/19/2023)

New York
(5/23/2023)

Pennsylvania
(5/23/2023)

Exams

State Security Law Exam

Series 63

Date: 8/8/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/10/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona

Registered Investment Advisory firm - SEC (7/3/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

New York

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

48 Wall St., Suite 1206. Suite 1206, New York, NY 10005

Mailing Address

48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005

Phone number

(212) 269-7271

Established

New York since 06/03/1997

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RABINOWITZ, ROBERT Y	PRES, GSP	2821450
ANDERSON, ERIK JASON	CHIEF COMPLIANCE OFFICER	2686661
MATSIS, MICHAEL A	AMLCO	1455158
NAVEED, HASNAIN	FINOP, POO, PFO	7004810

Disclosures

Regulatory Event	10
Civil Event	1
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Steven B. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Brady Richardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

KENNETH, JEROME & CO.,INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

BUTCHER & SINGER INC.

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

BEVILL, BRESLER & SCHULMAN INCORPORATED

HANAUER, STERN & COMPANY,INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/2018

Series 65

Date: 9/10/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/20/1982

FINRA

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.H. DARBIE & CO., INC.

TRUST BUT VERIFY

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