SR
Stephen R. Richard
NATIONAL FINANCIAL SERVICES LLC
Boston, MA 02210
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CRD#: 3113456
SR
Professional summary
Stephen R Richard, who also goes by Stephen Robert Richard, Steve Richard, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Robert Richard | Steve Richard
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen R Richard's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 26, 2004 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 13041
Boston, MA
Current
April 26, 2012 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 7784
Boston, MA
Current
July 23, 2019 - Present
FIDELITY PRIME FINANCING
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 299736
Boston, MA
Past
October 15, 1998 - May 26, 2004
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/26/2004)
RR
Alaska(5/26/2004)
RR
Arizona(5/26/2004)
RR
Arkansas(5/26/2004)
RR
California(5/26/2004)
RR
Colorado(5/26/2004)
RR
Connecticut(5/26/2004)
RR
Delaware(5/26/2004)
RR
District of Columbia(5/26/2004)
RR
Florida(5/26/2004)
RR
Georgia(5/26/2004)
RR
Hawaii(5/26/2004)
RR
Idaho(5/26/2004)
RR
Illinois(5/26/2004)
RR
Indiana(5/26/2004)
RR
Iowa(5/26/2004)
RR
Kansas(5/26/2004)
RR
Kentucky(5/26/2004)
RR
Louisiana(6/1/2004)
RR
Maine(5/26/2004)
RR
Maryland(5/26/2004)
RR
Massachusetts(5/26/2004)
RR
Michigan(5/26/2004)
RR
Minnesota(5/26/2004)
RR
Mississippi(5/26/2004)
RR
Missouri(5/26/2004)
RR
Montana(5/26/2004)
RR
Nebraska(5/26/2004)
RR
Nevada(5/26/2004)
RR
New Hampshire(5/26/2004)
RR
New Jersey(5/26/2004)
RR
New Mexico(5/26/2004)
RR
New York(5/26/2004)
RR
North Carolina(5/26/2004)
RR
North Dakota(5/26/2004)
RR
Ohio(5/27/2004)
RR
Oklahoma(5/26/2004)
RR
Oregon(5/26/2004)
RR
Pennsylvania(5/26/2004)
RR
Puerto Rico(5/26/2004)
RR
Rhode Island(5/26/2004)
RR
South Carolina(5/26/2004)
RR
South Dakota(5/26/2004)
RR
Tennessee(5/26/2004)
RR
Texas(5/26/2004)
RR
Utah(5/26/2004)
RR
Vermont(5/26/2004)
RR
Virgin Islands(4/26/2012)
RR
Virginia(5/26/2004)
RR
Washington(5/26/2004)
RR
West Virginia(5/26/2004)
RR
Wisconsin(5/26/2004)
RR
Wyoming(5/26/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
FP
FIDELITY PRIME FINANCING
FIDELITY PRIME FINANCING | FIDELITY PRIME FINANCING, LLC
CRD#: 299736 / SEC#: , 8-70261
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
155 Seaport Boulevard, Boston, MA 02210
Mailing Address
245 Summer Street Mail Zone: V1b, Boston, MA 02210
Phone number
(617) 563-0844
Established
Delaware since 10/02/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | OWNER | |
| CREEDON, ADAM | CHIEF COMPLIANCE OFFICER | 5417517 |
| HUNT, JON PETER | DIRECTOR | 2270130 |
| MARCHUK, ANTON V | ELECTED MANAGER | 4002432 |
| REMMES, GREGORY JOHN | PRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER | 2169049 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| RICHARD, STEPHEN ROBERT | PRESIDENT; ELECTED MANAGER | 3113456 |
| RYAN, KRISTA | C.L.O.; SECRETARY | |
| TESAURO, THOMAS JOHN | C.E.O., ELECTED MANAGER | 1862532 |
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.
Company Information
FIDELITY PRIME FINANCING
CRD#: 299736Boston, MA 02210TRUST BUT VERIFY
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