Richard W. London
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.
Richard Warren London, who also goes by Richard N London, Rick London, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 6, Series 7, Series 15, Series 3, Series 5 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
December 3, 2007 - January 27, 2020
FISHER INVESTMENTS
July 17, 1998 - July 13, 2000
MARKMAN SECURITIES, INC.
November 21, 1996 - June 19, 1997
MARKMAN SECURITIES, INC.
January 1, 1992 - May 10, 1993
DREHER & ASSOCIATES, INC.
May 4, 1989 - December 6, 1991
UBS FINANCIAL SERVICES INC.
March 17, 1986 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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 15
Date: 3/14/1986
Foreign Currency Options ExaminationSeries 5
Date: 3/5/1986
Interest Rate Options ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
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