Scott H. 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.
Scott Howard Richards was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1989. Scott had worked at 4 firms and has passed the Series 63, Series 7, Series 6 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
Experience
June 8, 2006 - December 31, 2007
MARATHON ADVISORS, INC
September 5, 2002 - July 15, 2008
SECURIAN FINANCIAL SERVICES, INC.
June 20, 2002 - August 1, 2006
MMLISI FINANCIAL ALLIANCES, LLC
August 23, 1990 - July 15, 2008
SECURIAN FINANCIAL SERVICES, INC.
June 2, 1989 - July 15, 2008
CRI SECURITIES, 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
Current firm
No current employment
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.
