Eric A. 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.
Eric Alan Richardson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 9, Series 10 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
October 11, 2011 - June 20, 2012
NMS CAPITAL ASSET MANAGEMENT, INC.
October 10, 2011 - June 20, 2012
NMS CAPITAL SECURITIES, LLC
November 18, 2010 - October 11, 2011
BENNETT ROSS, INC.
March 24, 2005 - November 5, 2008
STRATEGIC ADVISERS LLC
August 10, 1995 - November 5, 2008
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
NMS CAPITAL ASSET MANAGEMENT, INC.
CRD#: 149678 / SEC#: 801-70544
Contact information
Red Flags
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