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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-04-02
  • MD RA
    APPROVED
    Since 2024-04-02

Branch Locations

2350 W Joppa Rd Greenspring Center, Lutherville, MD 21093 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
M&T Securities Baltimore MD 08/2016 06/2021
Lpl Financial Llc Baltimore MD 06/2021 03/2024
Wells Fargo Clearing Services, Llc Lutherville MD 04/2024 Present
Previous Registrations
  • 2021-06-09 → 2024-04-17
    Lutherville, MD
    Timonium, MD
    Baltimore, MD
    Baltimore, MD
    Towson, MD
    Towson, MD
    Towson, MD
    Towson, MD
    Annapolis, MD
  • 2016-08-23 → 2021-06-09
    M&T Securities, Inc.
    Timonium, MD
    Towson, MD
    Towson, MD
    Timonium, MD
    Timonium, MD
    Baltimore, MD
    Baltimore, MD
    Towson, MD
    Lutherville, MD
    Towson, MD
    Annapolis, MD
    Baltimore, MD
  • 2016-05-12 → 2016-09-09
    Hunt Valley, MD
  • 2013-10-29 → 2016-05-05
    Osaic Services, Inc.
    Baltimore, MD
    Scottsdale, AZ
    Baltimore, MD
    Baltimore, MD
  • 2008-04-02 → 2013-10-09
    Msi Financial Services, Inc.
    Elkridge, MD
  • 2005-08-01 → 2008-03-28
    Owings Mills, MD
    Owings Mills, MD
Other Businesses

RENTAL PROPERTY, NOT INV REALTED, BALTIMORE, MD, 100% OWNERSHIP, START 4/1/2024, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, CAR RENTAL VIA TURO RENTAL PROPERTY - BOULDIN; INV RELATED; BALTIMORE, MD; RENTAL REAL ESTATE;100% OWNERSHIP; START DATE: 10/24/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING| RENTAL PROPERTY - 507; INV RELATED;BALTIMORE,MD; RENTAL PROPERTY;100% OWNERSHIP; START DATE: 02/27/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-29
  • S66 Uniform Combined State Law Examination
    2005-07-29
Other Names
  • Bernie Richards
  • Bernard Richards
  • Bernard William Richards

View on SEC IAPD

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