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Cedric Jean Richardson

CRD# 2936864·Registered 2002 - 2009
Previously Registered: Being a previously registered professional could mean that Cedric 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.

Professional Summary

Cedric Jean Richardson was a registered financial advisor. Cedric was a previously registered financial professional and started their career in finance 2002 - 2009. Cedric had worked at 4 firms and has passed the Series 6 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

24 years in the financial services industry

Current & Past Employments

PROFESSIONAL ASSET MANAGEMENT, INC.·CRD# 21125
BD
Troy, MI
September 25, 2007 - December 31, 2009
CORNERSTONE ASSET MANAGEMENT SERVICES, INC.·CRD# 137712
RIA
Broadview Heights, OH
January 24, 2006 - December 7, 2018
QUESTAR ASSET MANAGEMENT, INC.·CRD# 133358
RIA
E. Cleveland , OH
February 7, 2005 - February 6, 2007
QUESTAR CAPITAL CORPORATION·CRD# 43100
RIA
Lakewood, OH
September 18, 2002 - December 31, 2005
QUESTAR CAPITAL CORPORATION·CRD# 43100
BD
Lakewood, OH
July 9, 2002 - September 25, 2007

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Current Firm

PA
PROFESSIONAL ASSET MANAGEMENT, INC.

PROFESSIONAL ASSET MANAGEMENT, INC.

CRD#: 21125 / SEC#: 8-38813
BD
Terminated by SEC on 10/28/2011

Contact Information

Established

Michigan since 09/10/1987

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
FLAM, JOAN EDWINAMO/CORP. SEC.719351
JOHNSON, PETER CHARLESPRESIDENT/TREASURER/CCO854653

Disclosures

Regulatory Event

2

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2002About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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