Marcia L. 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.
Marcia Lynn Richardson, CFP®, who also goes by Marcia Lynn Kleinman, Marcia Kleinman, Marcia Richardson Olson, Marcia Olson, Marcia L Richardson, Marcia Richardson, Marcia Lynn Richardson Olson, was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1986. Marcia had worked at 13 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 55, Series 5, Series 15, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2020 - October 11, 2022
VANGUARD MARKETING CORPORATION
November 18, 2019 - October 11, 2022
VANGUARD ADVISERS, INC.
March 4, 2005 - July 30, 2007
BB&T ASSET MANAGEMENT, INC.
March 8, 2004 - December 14, 2004
COMERICA SECURITIES
September 29, 2003 - December 14, 2004
COMERICA SECURITIES
October 11, 2001 - April 22, 2002
CHARTER ONE SECURITIES, INC.
September 26, 1998 - May 7, 2001
AMERIPRISE ADVISOR SERVICES, INC.
March 2, 1998 - August 26, 1998
RBC CAPITAL MARKETS, LLC
August 13, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
March 19, 1996 - June 5, 1996
STERNE, AGEE & LEACH, INC.
January 5, 1993 - February 2, 1996
WELLS FARGO CLEARING SERVICES, LLC
October 8, 1991 - January 1, 1993
GLENFED BROKERAGE SERVICES
June 3, 1991 - September 5, 1991
PERSHING LLC
January 23, 1986 - May 1, 1991
MORGAN STANLEY DW 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
Series 7TO
Date: 1/8/2020
General Securities Representative ExaminationSeries 55
Date: 11/14/1998
Limited Representative-Equity Trader ExamSeries 5
Date: 7/14/1987
Interest Rate Options ExaminationSeries 15
Date: 7/6/1987
Foreign Currency Options ExaminationCurrent Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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