Connie A. 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.
Connie Ann Richardson was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1987. Connie had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 1997 - December 10, 2013
AUSTIN ATLANTIC CAPITAL INC.
August 9, 1994 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
August 9, 1994 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
August 24, 1987 - July 29, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
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
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981 / SEC#: , 8-50509
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
