John L. Richey
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.
John Lawrence Richey was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2012 - August 17, 2021
SHEARSON FINANCIAL SERVICES, LLC
August 8, 2005 - April 19, 2012
MORGAN KEEGAN & COMPANY, LLC
November 27, 2000 - August 5, 2005
COASTAL SECURITIES, INC.
April 28, 1999 - October 5, 1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION
April 15, 1999 - November 30, 2000
ICBA SECURITIES
March 25, 1999 - November 30, 2000
VINING-SPARKS IBG, LLC
September 26, 1994 - April 13, 1999
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 1994 - October 3, 1994
LEGG MASON WOOD WALKER, INCORPORATED
January 31, 1990 - September 1, 1994
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
October 3, 1988 - January 31, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
August 23, 1988 - October 3, 1988
UMIC, INC.
July 25, 1987 - August 25, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
March 20, 1980 - August 25, 1988
WESTCAP SECURITIES, L.P.
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 8
Date: 11/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
