Craig C. Richart
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.
Craig Cole Richart, who also goes by Craig C Richart, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1974. Craig had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 1 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
October 3, 2011 - May 6, 2015
APW CAPITAL, INC.
February 3, 1999 - October 16, 2017
PRIVATE VISTA, LLC
January 5, 1999 - October 4, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 1998 - January 5, 1999
OSAIC FA, INC.
May 14, 1976 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 10, 1974 - July 14, 1976
INDUSTRY SAVINGS PLANS, 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 1
Date: 11/27/1974
Registered Representative ExaminationCurrent Firm
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
