John D. Richardson

MERCHANT BANKING ADVISORS

Old San Juan, PR

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CRD#: 1918288

Professional summary

John Desopo Richardson, who also goes by Jonathan D'esopo Richardson, is a registered financial advisor currently at MERCHANT BANKING ADVISORS, INC. located in Old San Juan, .

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. John has worked at 4 firms and has passed the Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan D'esopo Richardson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PRSoft, Inc. The business is not investment-related. 753 Hipodromo St. San Juan, PR 00909, Tax Preparation Software, Director, 7/20/2007, 0 hours, 0 hours, I serve on the Board of Directors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Desopo Richardson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2019 - Present

MERCHANT BANKING ADVISORS, INC.

RIA

CRD#: 299733

Old San Juan, PR

Past

September 6, 2002 - December 14, 2005

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

Past

June 8, 1999 - September 30, 1999

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

January 17, 1989 - November 30, 1989

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

CRD#: 17053

SAN JUAN, PR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Puerto Rico
(1/2/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 9/5/2002

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 2/6/1989

Municipal Securities Representative Examination

Current Firm

MERCHANT BANKING ADVISORS, INC.

CRD#: 299733 / SEC#:

Puerto Rico

Registered Investment Advisory firm - (1/2/2019 Approved)

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Contact information

Main Address

Old San Juan, PR

Mailing Address

Phone number

(787) 630-4341

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
New York	ERA - Withdrawn	4/17/2019

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.

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John D. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Desopo Richardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCHANT BANKING ADVISORS, INC.

ORIENTAL FINANCIAL SERVICES LLC

SANTANDER SECURITIES LLC

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 9/5/2002

Series 52

Date: 2/6/1989

Current Firm

MERCHANT BANKING ADVISORS, INC.

Contact information

Documents

Exempt reporting advisers

Red Flags

Company Information

MERCHANT BANKING ADVISORS, INC.

TRUST BUT VERIFY

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