Michael J. 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.
Michael John Richardson JR, who also goes by Michael John Richardson III, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2002 - September 25, 2002
SANDS BROTHERS & CO., LTD.
June 28, 2000 - January 19, 2001
MERIT CAPITAL ASSOCIATES, INC.
October 13, 1999 - June 21, 2000
DALTON KENT SECURITIES GROUP, INC.
February 4, 1998 - October 19, 1999
THE THERMOPYLAE GROUP, INC.
April 22, 1997 - January 2, 1998
R.D. WHITE & CO., INC.
December 20, 1995 - May 16, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
November 8, 1995 - December 19, 1995
PARAGON CAPITAL MARKETS, INC.
May 18, 1995 - November 20, 1995
FIRST ASSET MANAGEMENT, INC.
April 20, 1995 - May 15, 1995
LADENBURG CAPITAL MANAGEMENT INC.
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
SANDS BROTHERS & CO., LTD.
CRD#: 26816 / SEC#: , 8-42740
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 16 |
Red Flags
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