Patrick A. Richard
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.
Patrick Allen Richard was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1983. Patrick had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2015 - November 4, 2024
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
October 9, 2015 - November 4, 2024
HERBERT J. SIMS & CO, INC.
January 27, 2014 - July 7, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
September 27, 2007 - July 7, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
March 6, 2003 - October 25, 2006
INVEST FINANCIAL CORPORATION
December 14, 2000 - August 13, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - February 14, 2003
WELLS FARGO INVESTMENTS, LLC
February 23, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 23, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
May 11, 1998 - February 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 22, 1994 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
October 20, 1983 - August 3, 1994
PIPER SANDLER & CO.
Primary Firm SEC Registration
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
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
Series 8
Date: 10/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 374 |
| AUM (Assets Under Management) | $ 186,784,367 |
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.
