Thomas Scott Richards is a registered financial professional at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located in Boulder, Colorado.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (12)
New York (5/8/2021)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
4875 Pearl East Cir Ste 200, Boulder, CO, 80301-2600
11/30/2000 - Current
PREVIOUS EMPLOYER (1)
ROBERT W. BAIRD & CO. INCORPORATED (#8158)
11/30/2000 - 1/1/2002
Thomas Scott Richards
Experience: 23 years / 2 firms
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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