Denise D. 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.
Denise D Richard, who also goes by Denise Dickerson, Denise D Sadberry, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2009. Denise had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2015 - April 10, 2023
ANICO FINANCIAL SERVICES, INC.
October 1, 2012 - December 18, 2013
J.P. MORGAN SECURITIES LLC
February 17, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 16, 2011 - October 18, 2011
EQUITABLE ADVISORS, LLC
November 9, 2009 - November 10, 2010
NYLIFE SECURITIES LLC
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
ANICO FINANCIAL SERVICES, INC.
CRD#: 158883 / SEC#: , 8-68938
Contact information
FINRA licenses (18 States and Territories)
Documents
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.
