Craig J. Richard
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.
Craig Jerome Richard, who also goes by Craig Jerome Richard, Craig Richard, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1998. Craig had worked at 5 firms and has passed the Series 66, Series 63, SIE, 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
December 21, 2020 - December 31, 2021
BAOFIN FINANCIAL CONSULTANTS, LLC
April 27, 2018 - April 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2018 - April 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2015 - January 2, 2018
NYLIFE SECURITIES LLC
January 8, 1998 - October 30, 1998
IDS LIFE INSURANCE COMPANY
January 8, 1998 - October 30, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
BAOFIN FINANCIAL CONSULTANTS, LLC
CRD#: 310748 / SEC#:
Contact information
Red Flags
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