Lloyd J. 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.
Lloyd James Richards, who also goes by Jim Richards, L. James Richards, was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1977. Lloyd had worked at 12 firms and has passed the Series 63, Series 6, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2006 - September 24, 2013
ALLIANZ LIFE FINANCIAL SERVICES, LLC
May 24, 1999 - July 11, 2000
CETERA WEALTH SERVICES, LLC
December 14, 1994 - May 19, 1998
NEW ENGLAND SECURITIES
July 18, 1994 - October 17, 1994
MORGAN STANLEY DW INC.
March 16, 1993 - July 28, 1994
SENTINEL FINANCIAL SERVICES COMPANY
October 9, 1992 - March 26, 1993
PROVIDENTMUTUAL FINANCIAL SERVICES, INC.
August 1, 1989 - September 2, 1992
AMERICAN CAPITAL MARKETING, INC.
July 14, 1989 - August 9, 1989
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 18, 1978 - February 4, 1985
PIPER SANDLER & CO.
September 28, 1977 - October 6, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
September 28, 1977 - October 6, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
September 28, 1977 - October 6, 1978
IDS LIFE INSURANCE COMPANY
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: 9/22/1977
Registered Representative ExaminationCurrent Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 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.
