Paul W. Richardson

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CRD#: 1424631

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.

Paul William Richardson, who also goes by Paul Williamson Richardson, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Williamson Richardson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 15, 2005 - October 31, 2008

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

SALT LAKE CITY, UT

Past

January 5, 2005 - November 30, 2005

PMG ASSET MANAGEMENT INC

RIA

CRD#: 110825

COLORADO SPRINGS, CO

Past

February 26, 2003 - December 31, 2005

INTERACTIVE FINANCIAL ADVISORS

RIA

CRD#: 125117

JOLIET, IL

Past

September 11, 2002 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

August 30, 2002 - December 31, 2004

PMG SECURITIES CORPORATION

RIA

CRD#: 27107

COLORADO SPRINGS, CO

Past

February 2, 1999 - May 21, 2012

HERITAGE CAPITAL MANAGEMENT INC

RIA

CRD#: 110383

COLORADO SPRINGS, CO

Past

May 30, 1991 - December 21, 1991

UNITED RESOURCES, INC.

CRD#: 14898

Past

April 26, 1991 - August 16, 2002

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

August 12, 1988 - April 24, 1991

DOUGLAS BREMEN & CO., INC.

CRD#: 13186

Past

May 5, 1988 - December 31, 1988

WILLIAM SCOTT & CO. L.L.C.

CRD#: 14979

Past

November 23, 1987 - August 12, 1988

PROFESSIONAL BROKERAGE SERVICES INC.

CRD#: 7998

Past

October 23, 1985 - November 20, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/8/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/1988

General Securities Principal Examination

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451 / SEC#: 801-68927, 8-47309

RIA

Registered Investment Advisory firm - SEC (3/31/2012 Terminated)

Alabama

Registered Investment Advisory firm - SEC (4/18/2008 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

California

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Delaware

Registered Investment Advisory firm - SEC (8/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (4/11/2008 Terminated)

Illinois

Registered Investment Advisory firm - SEC (4/1/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (4/21/2008 Terminated)

Iowa

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (6/24/2008 Terminated)

Maryland

Registered Investment Advisory firm - SEC (9/14/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/17/2008 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2023 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/14/2008 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/30/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/12/2011 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/30/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/1/2023 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (5/10/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Utah

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (4/1/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

191 Rosa Parks 12th Floor, Cincinnati, OH 45202

Mailing Address

191 Rosa Parks 12th Floor, Cincinnati, OH 45202

Phone number

(513) 361-9525

Established

Ohio since 06/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MASSMUTUAL ASCEND LIFE INSURANCE COMPANY	OWNER
HIGGINS, THOMAS PETER	AML OFFICER	2689801
KRAMER, SCOTT ALAN	VP, CO-CCO, AML OFFICER, AND CISO	4941092
NERONE, PETER JAMES	PRESIDENT/CEO/CCO/AML OFFICER/GP/MP/CT	1953641
PURDON, ATHENA MARIE	TREASURER/FIN OP	3262378

Disclosures

Regulatory Event

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

Paul W. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PMG ASSET MANAGEMENT INC

INTERACTIVE FINANCIAL ADVISORS

PMG SECURITIES CORPORATION

PMG SECURITIES CORPORATION

HERITAGE CAPITAL MANAGEMENT INC

UNITED RESOURCES, INC.

WATERSTONE FINANCIAL GROUP, INC.

DOUGLAS BREMEN & CO., INC.

WILLIAM SCOTT & CO. L.L.C.

PROFESSIONAL BROKERAGE SERVICES INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/1997

Series 63

Date: 11/6/1985

Series 7

Date: 10/19/1985

Series 24

Date: 2/9/1988

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MM ASCEND LIFE INVESTOR SERVICES, LLC

TRUST BUT VERIFY

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