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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

ANTHONY ST STEPHEN RICHARDSON

Advisor at CITIGROUP GLOBAL MARKETS INC.

Newbury Park, CA | Manhattan Beach, CA | Palos Verdes Estates, CA

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Search this name across graphsid dfx:ria:0dd70f58-2fdd-2091-7f07-400c748e7e7c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: May 4, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIGROUP GLOBAL MARKETS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 3, 2006
First registration: May 4, 2006
Dual registered: yes, broker-dealer
Other names: ANTHONY RICHARDSON|ANTHONY ST. STEPHEN RICHARDSON|ANTHONY ST STEPHEN RICHARDSON|ANTHONY RICHARDSON|ANTHONY S RICHARDSON
IAPD individual key: 5080943

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 23, 2025	n/a	yes	Manhattan Beach, CA\|Newbury Park, CA\|Palos Verdes Estates, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Dec 19, 2017	Sep 29, 2025	no	Los Angeles, CA\|LOS ANGELES, CA\|BEVERLY HILLS, CA\|PALOS VERDES ESTATES, CA\|West Hollywood, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	May 18, 2015	Nov 9, 2017	no	LOS ANGELES, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Apr 8, 2015	no	LOS ANGELES, CA\|LOS ANGELES, CA\|INGLEWOOD, CA\|LOS ANGELES, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	LOS ANGELES, CA\|LOS ANGELES,, CA\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Apr 7, 2009	May 2, 2009	no	LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 15, 2008	Feb 12, 2009	no	BEVERLY HILLS, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 4, 2006	Feb 29, 2008	no	BEVERLY HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RBC SECURITIES, INC.	CITIGROUP GLOBAL MARKETS INC.	Sep 29, 2025	Sep 23, 2025	-6	Firm change	RIA to ibd
STRATEGIC ADVISERS LLC	RBC SECURITIES, INC.	Nov 9, 2017	Dec 19, 2017	40	Firm change	Other
J.P. MORGAN SECURITIES LLC	STRATEGIC ADVISERS LLC	Apr 8, 2015	May 18, 2015	40	Firm change	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WAMU INVESTMENTS, INC.	Feb 12, 2009	Apr 7, 2009	54	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 29, 2008	Apr 15, 2008	46	Firm change	Wirehouse to wirehouse

Relationships

Registered with (8)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Sep 23, 2025 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Dec 19, 2017 to Sep 29, 2025factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
May 18, 2015 to Nov 9, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Apr 8, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 7, 2009 to May 2, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 15, 2008 to Feb 12, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 4, 2006 to Feb 29, 2008factForm ADV

Dated events

Occurred
Sep 29, 2025
Advisor changed firm
Anthony St Stephen Richardson left Rbc Securities, Inc. for Citigroup Global Markets Inc. (registered 2025-09-23)
Form ADVobserved 5 days ago