Stephen N. Richards
Professional summary
Stephen N. Richards was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Stephen had worked at 1 firm, which includes INVESCO CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2001 - December 11, 2008
INVESCO CAPITAL MARKETS, 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
Current Firm
INVESCO CAPITAL MARKETS, INC.
CRD#: 6939 / SEC#: , 8-19412
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | OWNER | |
| GEYER, WILLIAM SENG | DIRECTOR AND CO-PRESIDENT | 2250035 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARTIGAN, BRIAN CHRISTOPHER | DIRECTOR AND CO-PRESIDENT | 4227272 |
| SAUERBORN, THOMAS J | PRINCIPAL OPERATIONS OFFICER | 1554859 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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