William L. Richmond

CARY STREET PARTNERS

CHARLOTTE, NC 28209

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CRD#: 1484057

Professional summary

William Lawrence Richmond, who also goes by Larry Richmond, William Lawerence Richmond, William Lawrence Richmond Jr, William Lawrence Richmond Jr., William Lawrence Richmond, William Lawrence Jr Richmond, is a registered financial advisor currently at CARY STREET PARTNERS located in Charlotte, North Carolina and CARY STREET PARTNERS located in Charlotte, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. William has worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lawrence Richmond's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 11, 2020 - Present

CARY STREET PARTNERS

Office #1: 2820 Selwyn Avenue Suite 525, Charlotte, NC 28209

RIA

CRD#: 128545

CHARLOTTE, NC

Current

March 11, 2020 - Present

CARY STREET PARTNERS

Office #1: 2820 Selwyn Avenue Suite 525, Charlotte, NC 28209

CRD#: 128089

Charlotte, NC

Past

January 19, 2017 - September 27, 2018

MORGAN STANLEY

RIA

CRD#: 149777

CHARLOTTE, NC

Past

January 19, 2017 - September 27, 2018

MORGAN STANLEY

CRD#: 149777

CHARLOTTE, NC

Past

May 21, 2015 - September 20, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHARLOTTE, NC

Past

May 21, 2015 - September 20, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHARLOTTE, NC

Past

March 5, 2014 - December 31, 2016

CONSOLIDATED PORTFOLIO REVIEW CORP

RIA

CRD#: 112694

CHARLOTTE, NC

Past

March 5, 2014 - December 1, 2014

IMPACTU.INVESTMENTS, LLC

CRD#: 122696

WOODBURY, NY

Past

July 25, 2012 - October 15, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

STAMFORD, CT

Past

July 25, 2012 - October 15, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

STAMFORD, CT

Past

April 12, 2012 - July 18, 2012

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

WESTPORT, CT

Past

April 17, 2009 - October 7, 2011

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

GREENWICH, CT

Past

April 17, 2009 - October 7, 2011

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

GREENWICH, CT

Past

January 12, 2009 - May 11, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

September 6, 2006 - May 11, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

September 4, 2002 - May 26, 2006

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

June 17, 1999 - December 12, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

June 22, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

June 9, 1995 - June 14, 1999

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 8, 1993 - May 25, 1995

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

May 7, 1991 - February 2, 1993

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

March 26, 1990 - March 13, 1991

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

March 10, 1989 - April 12, 1990

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

May 21, 1986 - March 27, 1989

MORGAN STANLEY & CO. LLC

CRD#: 8209

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(3/11/2020)

IAR

North Carolina
(3/11/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/13/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

William L. Richmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lawrence Richmond's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

MORGAN STANLEY

MORGAN STANLEY

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CONSOLIDATED PORTFOLIO REVIEW CORP

IMPACTU.INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

DAVID LERNER ASSOCIATES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

B. RILEY SECURITIES, INC.

ABN AMRO SECURITIES LLC

SBC WARBURG DILLON READ INC.

UBS SECURITIES LLC

NATWEST SECURITIES CORPORATION

MONTGOMERY SECURITIES

TUCKER ANTHONY INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/2015

Series 63

Date: 9/5/1986

SIE

Date: 9/27/2018

Series 7

Date: 5/17/1986

FINRA

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

Contact information

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