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David Brian Richardson

National Financial Services LLC

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About David Brian Richardson

David Richardson is a financial professional with over 20 years of experience in the industry. David is currently registered with National Financial Services LLC. David has a strong background in securities and investments, holding the Series 7, Series 24, Series 63, Series 99TO and SIE licenses. Previously, David was affiliated with BEAR, STEARNS & CO. INC. and BEAR, STEARNS SECURITIES CORP. David's experience and qualifications demonstrate a commitment to providing clients with comprehensive financial guidance.

Firm Information

David Richardson is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Richardson’s Registration & Firm History

MA

05/14/2008 - Present

National Financial Services LLC (BOSTON MA)

NY

04/20/2007 - 03/26/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

04/20/2007 - 03/26/2008

BEAR, STEARNS SECURITIES CORP. (NEW YORK NY)

NJ

08/21/2002 - 04/03/2007

NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 08/20/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/21/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/20/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Brian Richardson.
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