David E. Richardson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Eliot Richardson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2015 - March 31, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 16, 2015 - March 31, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 4, 2013 - November 18, 2015
PROSPERA FINANCIAL SERVICES, INC.
June 3, 2013 - November 18, 2015
PROSPERA FINANCIAL SERVICES, INC.
June 24, 2002 - June 20, 2013
LPL FINANCIAL LLC
June 14, 2002 - June 20, 2013
LPL FINANCIAL LLC
June 28, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 28, 1984 - June 20, 2002
IDS LIFE INSURANCE COMPANY
June 28, 1984 - June 20, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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