Lawrence H. Richards
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.
Lawrence H Richards was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 2008. Lawrence had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2011 - March 13, 2013
NORTHEAST PLANNING ASSOCIATES, INC.
November 26, 2010 - March 13, 2012
LPL FINANCIAL LLC
November 26, 2010 - March 13, 2012
LPL FINANCIAL LLC
April 14, 2009 - November 29, 2010
EDWARD JONES
April 13, 2009 - November 29, 2010
EDWARD JONES
August 1, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NORTHEAST PLANNING ASSOCIATES, INC.
CRD#: 131406 / SEC#: 801-110475
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
NORTHEAST PLANNING ASSOCIATES, INC.
CRD#: 131406 / SEC#: 801-110475
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,467 |
| AUM (Assets Under Management) | $ 327,668,966 |
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.
