Robert M. Richardson
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.
Robert Martin Richardson JR, who also goes by Bob Richardson Jr, Robert Martin Richardson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2015 - December 31, 2016
STATE FARM VP MANAGEMENT CORP.
October 5, 2012 - July 10, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 24, 2010 - September 13, 2012
FIFTH THIRD SECURITIES, INC.
May 21, 2010 - September 13, 2012
FIFTH THIRD SECURITIES, INC.
February 2, 2009 - June 7, 2010
LPL FINANCIAL LLC
July 10, 2007 - December 15, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 9, 2007 - July 30, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
April 27, 2005 - February 16, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 10, 2004 - April 22, 2005
FIRST HORIZON ADVISORS, INC.
April 23, 2002 - August 19, 2004
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
June 20, 2000 - January 15, 2002
FORESIDE PLAZA DISTRIBUTORS, LLC
February 17, 1999 - December 31, 2000
TAMARACK DISTRIBUTORS INC.
May 23, 1997 - December 31, 1998
BMA FINANCIAL SERVICES, INC.
July 26, 1993 - September 5, 1995
BMA FINANCIAL SERVICES, INC.
January 14, 1993 - May 21, 1993
AMERICAN GENERAL SECURITIES INCORPORATED
February 18, 1976 - October 14, 1992
TOWER SQUARE SECURITIES, 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: 2/9/1976
Registered Representative ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
