Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tristan? Claim Your ProfileTristan James Richardson is a financial advisor registered with Scotia Capital (usa) Inc. Tristan has been in the industry since May 28, 2009. Tristan currently holds the Series 63, Series 7, Series 86 and Series 87 licenses. Tristan's current affiliation is with Scotia Capital (usa) Inc. and Tristan was previously affiliated with Truist Securities, Inc. and D.A. Davidson & Co..
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
TX
07/07/2022 - Present
Scotia Capital (usa) Inc. (HOUSTON TX)
TX
12/11/2014 - 05/17/2022
TRUIST SECURITIES, INC. (HOUSTON TX)
OR
03/18/2009 - 11/18/2014
D.A. DAVIDSON & CO. (LAKE OSWEGO OR)
BC
Issued 04/22/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2009
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 09/09/2009
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/17/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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