THOMAS CRAIG RICHARDSON is currently employed as a Broker and/or Investment Adviser at SPENCER EDWARDS, INC. located at 6851 S HOLLY CIRCLE SUITE 200, SUITE 200, CENTENNIAL, CO, 80112.
THOMAS CRAIG RICHARDSON has worked at SPENCER EDWARDS, INC. since October 02, 2003
Disclosure History
THOMAS CRAIG RICHARDSON has 1 Disclosure Event(s).
Date: November 07, 1985 Category: Regulatory Initiated By: IOWA Allegations: THE SUPERINTENDENT ISSUED A NOTICE OF HEARING DATED NOVEMBER 7, 1985, ALLEGING THAT RICHARDSON SOLD SECURITIES WHICH WERE NOT REGISTERED IN IOWA, AND SOLD SECURITIES IN IOWA AT A TIME IN WHICH HE WAS NOT LICENSED AS AN AGENT. Resolution: Order SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: AFTER A HEARING, THE HEARING OFFICER ORDERED RICHARDSON TO CEASE AND DESIST SELLING SECURITIES WHILE UNLICENSED AS AN AGENT OR WHILE THE SECURITIES WERE UNREGISTERED. RICHARDSON IS CURRENTLY LICENSED IN IOWA. Broker Comment: Not Provided
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