Daniel C. 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.
Daniel Charles Richardson was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE 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
November 18, 2021 - September 15, 2023
CITIZENS SECURITIES, INC.
November 18, 2021 - September 15, 2023
CITIZENS SECURITIES, INC.
August 5, 2021 - November 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2021 - November 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2021 - June 7, 2021
HORACE MANN INVESTORS, INC.
December 3, 2020 - June 7, 2021
HORACE MANN INVESTORS, INC.
December 24, 2019 - July 20, 2020
BROOKSTONE CAPITAL MANAGEMENT LLC
October 19, 2017 - May 31, 2019
KEY INVESTMENT SERVICES LLC
October 19, 2017 - May 31, 2019
KEY INVESTMENT SERVICES LLC
October 21, 2016 - October 17, 2017
PNC WEALTH MANAGEMENT LLC
October 20, 2016 - October 17, 2017
PNC WEALTH MANAGEMENT LLC
July 13, 2015 - July 22, 2015
EQUITABLE ADVISORS, LLC
May 29, 2015 - July 22, 2015
EQUITABLE ADVISORS, LLC
July 27, 2007 - October 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2004 - May 10, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
February 3, 2004 - February 25, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
February 3, 2004 - February 25, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
May 1, 2003 - January 27, 2004
CITIZENS SECURITIES, INC.
April 9, 2003 - January 27, 2004
CITIZENS SECURITIES, INC.
June 26, 2000 - October 24, 2002
ADP BROKER-DEALER, INC.
April 26, 2000 - June 23, 2000
NATIONWIDE SECURITIES, LLC
June 7, 1999 - April 24, 2000
BNY MELLON CAPITAL MARKETS, LLC
April 21, 1999 - May 17, 1999
J.J.B. HILLIARD, W.L. LYONS, LLC
September 24, 1997 - April 21, 1999
PNC BROKERAGE CORP
November 20, 1996 - September 9, 1997
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
