Jonila K. 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.
Jonila Kaye Richards, who also goes by Joni Herman, Joni Richards, Jonila K Richards, was a registered financial professional .
Jonila is a previously registered financial professional and started their career in finance in 1983. Jonila had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
January 2, 2014 - December 31, 2017
TLG ADVISORS, INC.
January 2, 2014 - December 31, 2017
THE LEADERS GROUP, INC.
May 20, 2005 - December 31, 2013
TLG ADVISORS, INC.
February 7, 2003 - December 31, 2013
THE LEADERS GROUP, INC.
July 12, 1989 - March 3, 2003
CETERA ADVISORS LLC
July 12, 1984 - April 14, 1989
A. G. EDWARDS & SONS, INC.
September 21, 1983 - May 25, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
