John E. 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.
John Edward Richardson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - November 2, 2015
PARKLAND SECURITIES, LLC
November 13, 2012 - February 18, 2015
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
November 7, 2012 - February 18, 2015
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
April 28, 2008 - November 7, 2012
RICHARDSON & ASSOCIATES, INC.
January 4, 2008 - September 20, 2012
FORTUNE FINANCIAL SERVICES, INC.
April 20, 2005 - December 31, 2007
FORTUNE FINANCIAL SERVICES, INC.
January 3, 2002 - April 19, 2005
QUESTAR CAPITAL CORPORATION
January 17, 2001 - December 31, 2001
BLUE VASE SECURITIES, LLC
August 20, 1999 - January 16, 2001
SPECTRUM INVESTMENT SERVICES, INC.
July 12, 1995 - August 30, 1999
CARDINAL INVESTMENTS, INC.
December 20, 1990 - May 23, 1995
WALNUT STREET SECURITIES, INC.
March 23, 1990 - December 31, 1990
OPPENHEIMER & CO. INC.
December 23, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
April 29, 1987 - December 23, 1988
MORISON SECURITIES, INC.
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
PARKLAND SECURITIES, LLC
CRD#: 115368 / SEC#: , 8-53482
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| CARL F. ELLISON, JR. GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| BAUER, KRISTEN ANNE | TRUSTEE OF THE KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | 2457506 |
| DUNBAR, THERESA LYNN | TRUSTEE OF THE THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | 7346975 |
| ELLISON, CARL | TRUSTEE OF THE CARL F. ELLISON JR. GIFT TRUST DATED 10/30/2020 | 7342594 |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT AND TRUSTEE OF THE BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | 2933397 |
| RYDELL, JEROME MATTHEW | TRUSTEE OF THE JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | 7346979 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN, MANAGER AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED | 408389 |
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING INTERESTS) | |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 11 |
| 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.
