Michael G. 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.
Michael George Richards, who also goes by Mike Richards, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 8 firms and has passed the Series 63, 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
September 12, 2011 - February 22, 2012
NOBLE CAPITAL MARKETS, INC.
March 30, 2009 - July 2, 2010
AMEREST SECURITIES, INC.
February 1, 2005 - June 5, 2008
FINANCE 500, INC.
May 26, 2004 - February 17, 2005
MARLINS CAPITAL, LLC
January 28, 2000 - June 24, 2004
FORGE FINANCIAL GROUP, INC.
April 1, 1999 - January 25, 2000
THE AGEAN GROUP, INC
March 5, 1999 - March 29, 1999
THE AGEAN GROUP, INC
August 13, 1997 - March 2, 1999
CHARLES SCHWAB & CO., INC.
November 22, 1996 - January 21, 1997
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: 8/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
