Darrell A. Richey
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.
Darrell Arthur Richey was a registered financial professional .
Darrell is a previously registered financial professional and started their career in finance in 1987. Darrell had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2009 - March 3, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 27, 2007 - March 3, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 2007 - December 4, 2007
INVEST FINANCIAL CORPORATION
August 17, 2005 - April 30, 2007
PFIC SECURITIES CORPORATION
September 17, 1997 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
December 7, 1995 - September 17, 1997
LINK INVESTMENT SERVICES, INC.
October 1, 1993 - January 17, 1996
WINTRUST INVESTMENTS LLC
February 26, 1987 - September 30, 1993
RICHEY FINANCIAL GROUP, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
