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Phillip Paul Richmond

ADP Broker-Dealer, Inc.

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About Phillip Paul Richmond

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.

Firm Information

Phillip Richmond is currently registered with ADP Broker-Dealer, Inc.. ADP Broker-Dealer, Inc. is a corporation formed in July 1994. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Virgin Islands, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

755

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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Phillip Richmond’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Phillip Paul Richmond.
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