Jeffrey A. 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.
Jeffrey Alan Richards, who also goes by Jeffrey Alan Dick, Jeffrey Dick Richards, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1980. Jeffrey had worked at 12 firms and has passed the Series 63, Series 7, Series 3, Series 5, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2001 - September 24, 2002
AXIOM CAPITAL MANAGEMENT, INC.
September 23, 1999 - August 6, 2001
CANACCORD GENUITY SECURITIES LLC
July 30, 1999 - September 3, 1999
CREDIT SUISSE SECURITIES (USA) LLC
September 1, 1998 - August 20, 1999
LEHMAN BROTHERS INC.
April 24, 1995 - August 6, 1998
TUCKER ANTHONY INCORPORATED
February 14, 1995 - April 13, 1995
CARLIN EQUITIES, LLC
May 26, 1994 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
May 25, 1989 - August 16, 1989
LEHMAN BROTHERS INC.
May 22, 1989 - July 5, 1989
CITIGROUP GLOBAL MARKETS INC.
June 9, 1986 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 22, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 9, 1983 - May 28, 1986
LEHMAN BROTHERS INC.
November 5, 1980 - September 16, 1983
MORGAN STANLEY DW INC.
April 23, 1980 - November 3, 1980
BEVILL, BRESLER & SCHULMAN INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 10/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
