Mark 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.
Mark Richardson was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2001 - April 1, 2003
DIRECTED SERVICES LLC
January 3, 2001 - April 18, 2001
NATHAN & LEWIS SECURITIES, INC.
March 1, 1999 - December 8, 2000
IDS LIFE INSURANCE COMPANY
March 1, 1999 - December 8, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 1998 - January 12, 1999
MORGAN STANLEY DW INC.
January 13, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 13, 1997 - May 21, 1997
SIGNATOR INVESTORS, 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
DIRECTED SERVICES LLC
CRD#: 21675 / SEC#: 801-32675, 8-39104
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
