Steven 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.
Steven Andrew Richardson was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 6 firms and has passed the Series 99TO, SIE and Series 27 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2023 - July 10, 2026
INSTINET, LLC
May 24, 2022 - July 10, 2026
NOMURA SECURITIES INTERNATIONAL, INC.
December 8, 2015 - June 6, 2022
CITIGROUP GLOBAL MARKETS INC.
October 17, 2005 - December 17, 2015
HSBC SECURITIES (USA) INC.
April 27, 2000 - September 20, 2005
COMMERZBANK CAPITAL MARKETS CORP.
June 21, 1995 - April 24, 2000
CITIGROUP GLOBAL MARKETS INC.
September 9, 1994 - May 9, 1995
S.G. WARBURG & CO. INC.
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| HUGHES, WILLIAM FRANCIS JR | HEAD OF OPERATIONS | 1666328 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 80 |
Red Flags
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