Stuart H. 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.
Stuart Hancock Richardson was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1970. Stuart had worked at 9 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2003 - January 31, 2012
NATIONAL PLANNING CORPORATION
August 1, 2003 - September 10, 2003
WALNUT STREET SECURITIES, INC.
January 14, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 7, 1997 - January 2, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1996 - April 4, 1997
MORGAN STANLEY DW INC.
August 20, 1987 - January 20, 1994
UBS ASSET MANAGEMENT (US) INC.
January 17, 1979 - November 7, 1985
CIBC WORLD MARKETS CORP.
October 5, 1972 - February 3, 1979
SBC WARBURG DILLON READ INC.
May 24, 1971 - October 29, 1972
F S SMITHERS & CO INC
November 12, 1970 - May 19, 1971
SBC WARBURG DILLON READ INC.
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: 12/1/1997
AMEX Put and Call ExamSeries 1
Date: 11/9/1970
Registered Representative ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
