Jeffrey A. Richardson
Professional summary
Jeffrey Allen Richardson was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Jeffrey had worked at 5 firms, which includes SIERRA BROKERAGE SERVICES INC., OMNI FINANCIAL SECURITIES INC., OMNI CAPITAL MARKETS INCORPORATED, GREEN HILL FINANCIAL SERVICE CORPORATION, FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 1994 - April 8, 2003
SIERRA BROKERAGE SERVICES, INC.
November 4, 1994 - November 28, 1994
SIERRA BROKERAGE SERVICES, INC.
January 3, 1992 - November 4, 1994
OMNI FINANCIAL SECURITIES, INC.
October 10, 1989 - January 17, 1992
OMNI CAPITAL MARKETS, INCORPORATED
August 8, 1984 - December 31, 1988
GREEN HILL FINANCIAL SERVICE CORPORATION
June 25, 1981 - November 6, 1981
FORESTERS FINANCIAL SERVICES, 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 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 9/27/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
SIERRA BROKERAGE SERVICES, INC.
CRD#: 36573 / SEC#: , 8-47414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHARDSON, JEFFREY ALLEN | PRESIDENT/HEAD TRADER | 736249 |
| TROWBRIDGE, JAMES MAURICE | DIRECTOR | 2496467 |
| MACTIR INTERNATIONAL | SHAREHOLDER | |
| MCCAMEY, JOHN CHRISTOPHER | SHAREHOLDER | 1837728 |
| PAMULAPATI, JITHENDER | SHAREHOLDER | 2074713 |
| MCAULIFFE, JANE A | SHAREHOLDER | 2521230 |
| ECKSTEIN, BRIAN KEITH | CHIEF FINANCIAL OFFICER | 4270845 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
Red Flags
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