Unclaimed
Phillip Paul Richmond has been in the securities industry since December 10, 2012. Currently, Phillip is registered with ADP Broker-Dealer, Inc. in the state of New Jersey. Prior to working at ADP Broker-Dealer, Inc., Phillip worked at CAPFINANCIAL SECURITIES, LLC. and PARK AVENUE SECURITIES LLC. Phillip has passed the Series 66, Series 7, and SIE exams. Phillip is currently licensed in 52 states and the District of Columbia.
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.
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.
1
2
NJ
09/07/2017 - Present
ADP Broker-Dealer, Inc. (FLORHAM PARK NJ)
NC
04/10/2014 - 08/02/2017
CAPFINANCIAL SECURITIES, LLC. (RALEIGH NC)
NC
11/06/2012 - 04/09/2014
PARK AVENUE SECURITIES LLC (SANFORD NC)
BOTH
Issued 12/20/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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