Spencer K. 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.
Spencer Kenneth Norman Richards, who also goes by Spencer Kenneth Norman Richards, was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2013. Spencer had worked at 5 firms and has passed the Series 66, Series 7TO, 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
May 1, 2024 - December 18, 2024
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 17, 2022 - May 2, 2024
OSAIC FA, INC.
October 17, 2022 - May 1, 2024
OSAIC FA, INC.
August 14, 2019 - October 27, 2022
PRUCO SECURITIES, LLC.
August 14, 2019 - October 27, 2022
PRUCO SECURITIES, LLC.
May 3, 2019 - August 12, 2019
EQUITABLE ADVISORS, LLC
January 1, 2019 - August 12, 2019
EQUITABLE ADVISORS, LLC
April 9, 2013 - January 2, 2015
M&T SECURITIES, INC.
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: 12/31/2018
General Securities Representative ExaminationCurrent Firm
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CRD#: 145 / SEC#: , 8-13431
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| CHRYSSIKOS, PAUL TELEMAC | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 7263748 |
| FALLER, DANIEL T | SENIOR VICE PRESIDENT, HEAD OF LFD FINANCE | 6006570 |
| GIBSON, JASON MICHAEL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION | 3081880 |
| KENNEDY, JOHN CHRISTOPHER | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2213083 |
| NEPA, JARED M. | SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION | 5157819 |
| OMORUYI, MEGAN VOGT | AVP, FINANCIAL AND OPERATIONS PRINCIPAL | 7803022 |
| SEIFERT, TIMOTHY JOHN | SENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION | 1577571 |
| SMITH, NANCY | SECRETARY | 6140078 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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