Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Edward Richardson is a securities professional with over 40 years of experience in the industry. He is currently registered with Hilltop Securities Inc. in Sherman Oaks, California, and specializes in providing financial planning, educational seminars, and portfolio management for individuals. Prior to joining Hilltop Securities Inc., Carl Edward Richardson has held positions at several well-known firms including Citigroup Global Markets Inc., CIBC World Markets Corp., BANC OF AMERICA SECURITIES LLC, SALOMON SMITH BARNEY INC., DEAN WITTER REYNOLDS INC., A.G. BECKER PARIBAS INCORPORATED, COMARK SECURITIES, INC., DRYSDALE SECURITIES CORPORATION, TRIPP & CO., INC., and UMIC, INC. Carl Edward Richardson holds a Series 63, Series 52TO, SIE, Series 7, and Series 1 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
CA
09/01/2020 - Present
Hilltop Securities Inc. (Sherman Oaks CA)
CA
08/05/2003 - 01/22/2020
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
10/09/2002 - 08/28/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
03/20/1999 - 09/25/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
12/17/1984 - 02/16/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
10/02/1984 - 11/05/1984
DEAN WITTER REYNOLDS INC.
NA
05/20/1982 - 09/28/1984
A.G. BECKER PARIBAS INCORPORATED
NA
04/03/1981 - 04/12/1982
COMARK SECURITIES, INC.
NA
06/01/1978 - 11/18/1981
DRYSDALE SECURITIES CORPORATION
NA
03/28/1979 - 05/30/1980
TRIPP & CO., INC.
NA
12/05/1977 - 05/10/1978
UMIC, INC.
BC
Issued 05/23/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1982
Series 7 - General Securities Representative Examination
BC
Issued 01/09/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Carl Richardson is the right advisor for you? Invested Better is here to help.
