David F. 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.
David Flather Richardson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1969. David had worked at 12 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2015 - February 20, 2020
LADENBURG THALMANN ASSET MANAGEMENT INC
October 12, 2015 - February 20, 2020
LADENBURG THALMANN & CO. INC.
July 19, 2011 - October 19, 2015
GILFORD FINANCIAL CORP.
July 19, 2011 - October 19, 2015
GILFORD SECURITIES INCORPORATED
August 21, 2007 - July 20, 2011
JANNEY MONTGOMERY SCOTT LLC
August 12, 2002 - July 20, 2011
JANNEY MONTGOMERY SCOTT LLC
January 13, 2001 - August 19, 2002
DEUTSCHE BANK SECURITIES INC.
October 15, 1997 - January 13, 2001
DB ALEX. BROWN LLC
April 13, 1992 - October 28, 1997
UBS FINANCIAL SERVICES INC.
September 16, 1977 - April 23, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
August 20, 1974 - August 27, 1976
HALSEY, STUART & CO., INC.
June 17, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 6/16/1969
Registered Representative ExaminationCurrent Firm
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
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.
