Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Christopher Richards is a financial professional with over 37 years of experience in the financial industry. Paul is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since June 2003. Paul holds Series 4, 7, 8, 9, 10, 24, 55, 63, and 66 licenses. Paul has also been registered with other firms in the past including DME Securities, LLC, Investors Capital Corp, Wachovia Securities, Inc., Wachovia Brokerage Service, Olde Discount Corporation, Hereth, Orr & Jones, Inc., and First Jersey Securities, Inc. Paul has experience working in multiple states, including Florida, New York, Massachusetts, North Carolina, Wisconsin, Arizona, Arkansas, California, Georgia, Indiana, Kansas, Kentucky, Maryland, Minnesota, Missouri, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Virginia. Paul is a Registered Representative and Investment Advisor Representative. In addition to his current role with Northwestern Mutual Investment Services, LLC, Paul may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products. Paul also owns PCR SOAR Investment Inc., which is utilized to administer business.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
FL
05/31/2005 - Present
Northwestern Mutual Investment Services, LLC (JACKSONVILLE FL)
NY
02/11/2003 - 06/13/2003
DME SECURITIES, LLC (NEW YORK NY)
MA
07/02/2002 - 12/02/2002
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
NC
02/14/2000 - 08/02/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
07/16/1987 - 02/14/2000
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
NA
08/28/1984 - 07/06/1987
OLDE DISCOUNT CORPORATION
NA
12/20/1983 - 02/02/1984
HERETH, ORR & JONES, INC.
NA
05/26/1983 - 12/16/1983
FIRST JERSEY SECURITIES, INC.
BOTH
Issued 05/24/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/08/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/29/1988
Series 24 - General Securities Principal Examination
BC
Issued 08/07/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/11/1985
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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