Eric Jason Richman

CRD 3098965 · Charles Schwab & Co., Inc. · Philadelphia, PA

IA RegisteredBroker

Also appears in the source record as: Eric Richman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (16): California · Delaware · Florida · Georgia · Illinois · Indiana · Maryland · Massachusetts · New Jersey · New Mexico · New York · Ohio · Pennsylvania · South Carolina · Virginia · Wisconsin
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Philadelphia, PA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Philadelphia, PA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Philadelphia, PA · IA capacity

start not retrieved → present
Prudential Annuities Distributors, Inc
Shelton, CT · BC capacity

Jun 17, 2020 → Sep 17, 2021
Ast Investment Services, Inc.
Dresher, PA · IA capacity

Jun 22, 2020 → Nov 6, 2020
Pruco Securities, LLC.
Newark, NJ · BC capacity

Nov 14, 2019 → Jun 29, 2020
Lincoln Financial Distributors, Inc.
Philadelphia, PA · IA capacity

Sep 4, 2002 → Apr 21, 2008
Lincoln Financial Distributors, Inc.
Philadelphia, PA · BC capacity

Dec 31, 2000 → Apr 21, 2008
Delaware Distributors, L.P.
Philadelphia, PA · BC capacity

Aug 12, 1998 → Dec 31, 2000

Source & corrections

Where this page comes from

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