Ira R. 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.
Ira Richard Richardson, who also goes by Ira R Richardson Jr, Rick Richardson, Ricky Richardson, Ira Richard Richardson Jr, Ira Richard Richardson, was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1998. Ira had worked at 20 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2021 - June 9, 2021
VERITY ASSET MANAGEMENT
January 5, 2021 - June 9, 2021
VERITY INVESTMENTS, INC.
August 11, 2020 - October 29, 2020
CAPITAL MARKETS IQ, LLC
December 10, 2019 - August 7, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 9, 2019 - August 7, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 5, 2019 - December 4, 2019
CAPITAL MARKETS IQ, LLC
August 8, 2018 - June 10, 2019
CAPITAL MANAGEMENT SERVICES, INC.
June 11, 2018 - August 2, 2018
CREATIVEONE SECURITIES, LLC
June 4, 2018 - August 2, 2018
CREATIVEONE SECURITIES, LLC
October 31, 2017 - June 7, 2018
EQUITY SERVICES, INC.
October 11, 2017 - June 7, 2018
EQUITY SERVICES, INC.
August 5, 2014 - December 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2014 - December 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2013 - February 10, 2014
MML INVESTORS SERVICES, LLC
September 19, 2013 - February 10, 2014
MML INVESTORS SERVICES, LLC
February 8, 2013 - May 15, 2013
VERITRUST FINANCIAL, LLC
February 1, 2013 - May 15, 2013
VERITRUST FINANCIAL, LLC
January 22, 2013 - January 25, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 30, 2012 - January 25, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 2012 - December 6, 2012
NYLIFE SECURITIES LLC
May 4, 2012 - July 24, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
May 4, 2012 - July 24, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
November 18, 2011 - April 20, 2012
FSC SECURITIES CORPORATION
November 1, 2011 - April 20, 2012
FSC SECURITIES CORPORATION
March 13, 2007 - November 2, 2011
1ST GLOBAL ADVISORS INC
March 13, 2007 - November 2, 2011
1ST GLOBAL CAPITAL CORP.
June 19, 2006 - March 6, 2007
STATE FARM VP MANAGEMENT CORP.
August 13, 2002 - June 5, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 12, 2002 - June 5, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 15, 1999 - August 14, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 1999 - August 14, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 1998 - July 26, 1999
INVESTORS SECURITY COMPANY, INC.
Primary Firm SEC Registration
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
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.
