Cliff L. Richards
Professional summary
Cliff Lawrence Richards, who also goes by Cliff L Richards, is a registered financial professional currently at MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Cliff is registered as a RR (Registered Representative) and started their career in finance in 2008. Cliff has worked at 1 firm and has passed the SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cliff Lawrence Richards's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2008 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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