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DAVID MICHAEL RICHMAN
DAVID RICHMAN
CRD#: 1024804
IA
B
EATON VANCE MANAGEMENTCRD#: 104859 ONE POST OFFICE SQUARE
BOSTON, MA 02109
BOSTON, MA 02109
EATON VANCE DISTRIBUTORS, INC.CRD#: 37731 MIAMI BEACH, FL
0
Disclosures
38
Years of Experience
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State Registrations
B
Florida 12/12/2007
B
Massachusetts 12/14/2004
B
Georgia 12/12/2007
IA
Massachusetts 4/17/2009
SRO Registrations
B
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IA
Registered with this firm since 4/17/2009
B
Registered with this firm since 11/29/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2004 - 08/02/2004 | WEST HARTFORD, CT | |
IA | 03/29/1996 - 05/06/2004 | WEST HARTFORD, CT | |
B | 10/10/1994 - 10/30/1995 | RADNOR, PA | |
B | 05/12/1986 - 01/07/1991 | ||
B | 11/26/1983 - 05/02/1986 | ||
B | 06/28/1982 - 11/01/1983 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.