Sasha R. 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.
Sasha Rae Richard, who also goes by Sasha Richard, was a registered financial professional .
Sasha is a previously registered financial professional and started their career in finance in 2012. Sasha had worked at 3 firms and has passed the Series 63, SIE, Series 3 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
November 17, 2015 - January 25, 2016
AX TRADING, LLC
June 23, 2014 - February 20, 2015
FIS BROKERAGE & SECURITIES SERVICES LLC
July 24, 2012 - June 5, 2014
BLOOMBERG TRADEBOOK LLC
State Registrations and Notice Filings
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Exams
Current Firm
AX TRADING, LLC
CRD#: 154702 / SEC#: , 8-68667
Contact information
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.
