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Harry M. Richardson

Some features on this profile are disabled
CRD#: 375740
HR

Professional summary

Harry Michael Richardson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Harry is a previously registered financial professional and started their career in finance in 1967. Prior to being barred, Harry had worked at 7 firms, which includes PACIFIC GENESIS GROUP INC., FIRST REGIONAL INVESTMENT BANKERS INC., FIRST CALIFORNIA CAPITAL MARKETS GROUP INC., BIRR WILSON & CO. INC., MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, ROBERTS SCOTT & CO. INC., FIRST CALIFORNIA COMPANY INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

H Michael Richardson

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 10, 1995 - April 4, 1995

PACIFIC GENESIS GROUP, INC.

BD
CRD#: 37429
ALAMEDA, CA
Past

January 25, 1988 - December 14, 1989

FIRST REGIONAL INVESTMENT BANKERS, INC.

BD
CRD#: 19658
SAN FRANCISCO, CA
Past

March 3, 1985 - September 26, 1997

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

BD
CRD#: 16116
Past

March 3, 1980 - November 26, 1984

BIRR, WILSON & CO., INC.

BD
CRD#: 93
Past

November 8, 1973 - May 7, 1980

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

October 5, 1973 - November 29, 1973

ROBERTS, SCOTT & CO., INC.

BD
CRD#: 720
Past

August 25, 1967 - September 25, 1975

FIRST CALIFORNIA COMPANY, INCORPORATED

BD
CRD#: 301

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 10/1/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 41
Date: 6/18/1983
NYSE Allied Member Examination
General Industry/Product Exam
RR
Series 5
Date: 10/9/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 000
Date: 11/13/1973
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 8/23/1967
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 10/23/1975
Registered Principal Examination

Current Firm

PG
PACIFIC GENESIS GROUP, INC.
FIRST WASHINGTON CAPITAL MARKETS GROUP, INC. | PACIFIC GENESIS GROUP, INC. | GENESIS CAPITAL MARKETS GROUP, INC.

CRD#: 37429 / SEC#: , 8-47869

BD
Terminated by SEC on 11/05/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/17/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FITZGERALD, DAVID EDWARDEMPLOYEE1954287
YOUNG, DANIEL CLIVEVICE CHAIRMAN OF THE BOARD474842
RIPLEY, EDWARD LAWRENCEVICE PRESIDENT1017508

Disclosures

Regulatory Event8
Civil Event1

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

PACIFIC GENESIS GROUP, INC.

CRD#: 37429

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