Philip L. 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.
Philip Louis Richardson, CFP®, ChFC®, CLU® was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1996. Philip had worked at 5 firms and has passed the Series 63 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
Start date: 1999
Experience
September 9, 2019 - July 5, 2022
AEGIS WEALTH MANAGEMENT, INC.
July 24, 2017 - January 5, 2018
BLUE DUCK WEALTH MANAGEMENT
July 21, 2014 - May 14, 2015
HORTER INVESTMENT MANAGEMENT, LLC
June 27, 2007 - December 29, 2009
RICHARDSON, PHILIP LOUIS
October 15, 1996 - January 9, 2003
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
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
AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,538 |
| AUM (Assets Under Management) | $ 175,971,164 |
Red Flags
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