Howard D. Richards
Professional summary
Howard Deen Richards was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Howard is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Howard had worked at 7 firms, which includes KESTRA INVESTMENT SERVICES LLC, SECURUS WEALTH MANAGEMENT LLC, CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., OSAIC WEALTH INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - January 29, 2014
KESTRA INVESTMENT SERVICES, LLC
January 2, 2014 - June 8, 2015
KESTRA INVESTMENT SERVICES, LLC
September 24, 2008 - October 23, 2015
SECURUS WEALTH MANAGEMENT, LLC
March 28, 2005 - December 31, 2006
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 7, 2005 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 30, 2001 - December 31, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 27, 1995 - March 30, 2001
OSAIC WEALTH, INC.
November 18, 1991 - November 29, 1995
IDS LIFE INSURANCE COMPANY
November 18, 1991 - November 29, 1995
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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