Andrew S. Richard
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.
Andrew Stephen Richard was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 27, Series 24, Series 51 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2008 - December 26, 2018
USAA FINANCIAL ADVISORS, INC.
August 26, 2002 - December 27, 2018
USAA INVESTMENT SERVICES COMPANY
April 18, 2000 - December 27, 2018
USAA INVESTMENT SERVICES COMPANY
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 7TO
Date: 11/1/2023
General Securities Representative ExaminationSeries 99TO
Date: 11/1/2023
Operations Professional ExaminationCurrent Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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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