Richard Testa is a CFP-designated registered investment advisor, based in Natick, MA, with 27 years of industry experience.
Location
181 Worcester St., Natick, MA, 01760
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Regulatory History (2)
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Customer Dispute
June 2024Denied
Customer Dispute
July 2010Denied
Other Business Activities
Richard works as an advisory representative of an RIA, spending full-time hours with 120 hours per month dedicated to trading. He is also an IAR for Testa Associates LLC, spending full-time hours with 120 hours per month dedicated to trading.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
October 2021 - Present · 4 yrs 7 mos
Cambridge Investment Research, INC.Broker
October 2021 - Present · 4 yrs 7 mos
Previous Registrations
Prospera Financial Services, INC.
February 2010 - October 2021 · 11 yrs 8 mos
Prospera Financial Services, INC.Broker
February 2010 - October 2021 · 11 yrs 8 mos
Empire Financial Group, INC.Broker
May 2008 - December 2008 · 7 mos
Jesup & Lamont Securities CORP.
January 2007 - February 2010 · 3 yrs 1 mo
Jesup & Lamont Securities CORPBroker
December 2005 - February 2010 · 4 yrs 2 mos
Coburn & Meredith, INC.Broker
November 2004 - December 2005 · 1 yr 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1999 - October 2004 · 5 yrs 9 mos
State Registrations5 states
CAMANHPASD
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.