Philip M. 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.
Philip Morrison Richardson JR was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 8 firms and has passed the Series 63, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2012 - January 30, 2014
USTOCKTRADE SECURITIES, INC.
April 11, 1994 - April 3, 1995
CHURCHILL SECURITIES, INC.
August 23, 1985 - March 3, 1994
FIRST MADISON SECURITIES, INC.
March 9, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
February 22, 1979 - February 26, 1985
EHRLICH-BOBER & CO., INC.
February 22, 1978 - January 4, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - March 7, 1983
LEHMAN SPECIAL SECURITIES INC.
October 1, 1969 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
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 1
Date: 9/26/1969
Registered Representative ExaminationSeries 40
Date: 5/27/1976
Registered Principal ExaminationCurrent Firm
USTOCKTRADE SECURITIES, INC.
CRD#: 16208 / SEC#: , 8-33132
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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