Robert J. Richardson
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.
Robert Jay Richardson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1995 - January 12, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
February 3, 1994 - July 13, 1995
BNY MELLON SECURITIES CORPORATION
April 3, 1990 - December 10, 1993
MFS FINANCIAL SERVICES, INC.
November 19, 1989 - July 25, 1990
OSAIC WEALTH, INC.
September 26, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 28, 1986 - April 27, 1990
INTEGRATED RESOURCES MARKETING, INC.
February 24, 1983 - June 14, 1984
FIRST CAPITAL INVESTMENT CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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