Alvin V. Richards

RICHARDS FINANCIAL PLANNING

Houston, TX

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CRD#: 1685804

Professional summary

Alvin Van Richards, ChFC® is a registered financial advisor currently at RICHARDS FINANCIAL PLANNING, LLC located in Houston, Texas.

Alvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Alvin has worked at 5 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Richards is engaged in the annuity, life, and health insurance sales from multiple carriers. Mr. Richards has continually been licensed as an insurance agent since August of 1987. His activity involves approximately 50 to 80 hours per month or four-plus hours per day. Mr. Richards' compensation from insurance sales is commission. Mr. Richards duties for insurance sales is the sale and service of annuity, life and health insurance policies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alvin Van Richards's 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®

ChFC^®

Chartered Financial Consultant

Experience

Current

January 8, 2020 - Present

RICHARDS FINANCIAL PLANNING, LLC

RIA

CRD#: 306087

Houston, TX

Past

February 1, 2001 - December 21, 2012

TRIAD ADVISORS LLC

CRD#: 25803

HOUSTON, TX

Past

May 3, 1999 - February 6, 2001

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

November 14, 1990 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 8, 1987 - November 5, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/8/2020)

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.

Exams

State Security Law Exam

Series 63

Date: 6/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/5/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICHARDS FINANCIAL PLANNING, LLC

CRD#: 306087 / SEC#:

Texas

Registered Investment Advisory firm - (1/8/2020 Approved)

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Contact information

Main Address

15923 Pinyon Creek Drive, Houston, TX 77095

Mailing Address

Phone number

(713) 320-6124

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 329,619

Red Flags

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Alvin V. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alvin Van Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHARDS FINANCIAL PLANNING, LLC

TRIAD ADVISORS LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1987

Series 6

Date: 6/5/1987

Current Firm

RICHARDS FINANCIAL PLANNING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RICHARDS FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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