Matthew S. 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.
Matthew Steven Richards, who also goes by Matt Richards, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2012. Matthew had worked at 2 firms and has passed the Series 63, Series 7TO, SIE 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
December 8, 2023 - December 20, 2024
TPG CAPITAL BD, LLC
October 25, 2012 - August 7, 2015
PIMCO INVESTMENTS 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
Series 7TO
Date: 12/8/2023
General Securities Representative ExaminationCurrent Firm
TPG CAPITAL BD, LLC
CRD#: 143876 / SEC#: , 8-67616
Contact information
FINRA licenses (51 States and Territories)
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.
