Robert E. 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.
Robert E Richards, who also goes by Rob Richards, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
July 9, 2014 - April 9, 2015
BOUSTEAD SECURITIES, LLC
February 4, 2005 - July 7, 2014
FINANCE 500, INC.
January 2, 2004 - February 17, 2005
MARLINS CAPITAL, LLC
January 11, 2000 - January 7, 2004
FORGE FINANCIAL GROUP, INC.
May 11, 1998 - November 30, 1999
THE AGEAN GROUP, INC
March 27, 1996 - May 19, 1998
NORTH AMERICAN CLEARING, INC.
February 5, 1996 - March 20, 1996
EMPIRE FINANCIAL GROUP, 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
Series 55
Date: 12/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
