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ER

Edward C. Richards

J.P. MORGAN SECURITIES LLC
Newark, DE 19713
Some features on this profile are disabled
CRD#: 6335145
ER

Professional summary

Edward Charles Richards, who also goes by Edward C Richards Mr, Edward C Richards, is a registered financial professional currently at J.P. MORGAN SECURITIES LLC located in Newark, Delaware and J.P. MORGAN PRIME INC. located in New York, New York.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2016. Edward has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Edward C Richards Mr | Edward C Richards

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edward Charles Richards's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 16, 2014 - Present

J.P. MORGAN SECURITIES LLC

Office #1: 4041 Ogletown Stanton Rd, Newark, DE 19713
RIA
BD
CRD#: 79
Newark, DE
Current

January 4, 2018 - Present

J.P. MORGAN PRIME INC.

Office #1: 383 Madison Avenue, New York, NY 10179
BD
CRD#: 282107
NEW YORK, NY
Past

February 16, 2016 - October 1, 2016

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
BROOKLYN, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/16/2014
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

JM
J.P. MORGAN PRIME INC.
J.P. MORGAN PRIME INC.

CRD#: 282107 / SEC#: , 8-69703

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
1111 Polaris Parkway, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 10/02/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
J.P. MORGAN SECURITIES LLCSTOCK HOLDER79
COLLINS, JAMES MICHAELCHIEF FINANCIAL OFFICER2725065
DEMPSEY, PATRICK PAULTREASURER2830362
DICESARE, MICHAEL EDIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR4706326
KLION, ROGER JAYCHIEF OPERATIONS OFFICER AND DIRECTOR5082261
MEDINA, MATTHEW JOSEPHCHIEF LEGAL OFFICER8115839
SHERRICK, EILEEN FRANCESCHIEF COMPLIANCE OFFICER2225907
SISTO, MICHAEL JDIRECTOR5151797

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.

Company Information

J.P. MORGAN PRIME INC.

CRD#: 282107Newark, DE 19713

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