John R. 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.
John Robert Richards, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 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
Start date: 1998
Experience
March 8, 2017 - March 21, 2022
COMERICA SECURITIES
March 8, 2017 - March 21, 2022
COMERICA SECURITIES
February 5, 2016 - February 10, 2017
THE HUNTINGTON INVESTMENT COMPANY
May 10, 2013 - February 10, 2017
THE HUNTINGTON INVESTMENT COMPANY
February 1, 2012 - April 25, 2013
COMERICA SECURITIES
February 1, 2012 - April 25, 2013
COMERICA SECURITIES
March 7, 2008 - February 1, 2012
U.S. BANCORP ADVISORS, LLC
September 19, 1995 - February 1, 2012
U.S. BANCORP ADVISORS, LLC
November 8, 1994 - September 8, 1995
WELLS FARGO SECURITIES INC.
November 19, 1993 - November 3, 1994
GATEWAY INVESTMENT SERVICES, INC.
September 24, 1993 - December 31, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 4, 1990 - August 6, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 20, 1988 - July 26, 1990
IDS LIFE INSURANCE COMPANY
September 20, 1988 - July 26, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 |
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.
