Anthony P. Richards
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.
Anthony Paul Richards, who also goes by Anthony P Richard, Tony Richard, Anthony P Richards, Anthony Richards, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1986. Anthony had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2010 - April 4, 2013
STAIRWAY PARTNERS, LLC
April 15, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
April 15, 1992 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
April 15, 1992 - February 25, 2000
LEHMAN BROTHERS INC.
July 23, 1986 - March 11, 1992
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
STAIRWAY PARTNERS, LLC
CRD#: 133157 / SEC#: 801-63583
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
STAIRWAY PARTNERS, LLC
CRD#: 133157 / SEC#: 801-63583
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 102 |
| AUM (Assets Under Management) | $ 2,025,875,385 |
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.
