Eric W. 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.
Eric Wayne Richardson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 5 firms and has passed the Series 66, Series 63, 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
September 1, 2015 - January 30, 2018
SMI CAPITAL MARKETS LLC
April 1, 2009 - March 22, 2013
CAMBRIA CAPITAL, LLC
March 9, 2009 - February 20, 2018
CAMBRIA INVESTMENT MANAGEMENT, L.P.
November 16, 2006 - December 31, 2008
CAMBRIA INVESTMENT MANAGEMENT, L.P.
May 16, 2005 - February 6, 2015
CAMBRIA CAPITAL, LLC
December 6, 2004 - March 30, 2005
ENDEAVOR CAPITAL
June 26, 1998 - June 28, 1999
IMPERIAL CAPITAL, LLC
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
SMI CAPITAL MARKETS LLC
CRD#: 156441 / SEC#: , 8-68794
Contact information
FINRA licenses (4 States and Territories)
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.
