Craig S. Richards

S&A FINANCIAL SERVICES

Scott City, KS 67871

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CRD#: 1843427

Professional summary

Craig Steven Richards is a registered financial advisor currently at S&A FINANCIAL SERVICES, INC. located in Scott City, Kansas.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Craig has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.

1) CRAIG RICHARDS BEGAN 03/01/2019 AS A SCOTT CITY, KS CITY COUNCILMAN, NOT INVESTMENT RELATED, DEVOTES 4-6 HOURS PER MONTH, NONE DURING TRADING HOURS. 2) OWNER OF RICHARDS FINANCIAL SERVICES, INC., A NON-INVESTMENT RELATED LEGAL ENTITY ESTABLISHED 12/16/2011 FOR TAX AND ACCOUNTING PURPOSES, LOCATED AT 106 E 6TH STREET, SCOTT CITY, KS, 67871

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Steven Richards'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

January 23, 2009 - Present

S&A FINANCIAL SERVICES, INC.

Office #1: 106 E. 6th Street, Scott City, KS 67871

RIA

CRD#: 110471

Scott City, KS

Past

February 14, 2006 - December 31, 2007

HUNTER MIDWEST, INC.

RIA

CRD#: 116088

MERRIAM, KS

Past

October 26, 2005 - April 12, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

Past

August 16, 2002 - May 16, 2005

HUNTER MIDWEST, INC.

RIA

CRD#: 116088

MERRIAM, KS

Past

May 21, 2001 - May 17, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

July 30, 1998 - June 4, 2001

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

June 15, 1988 - April 20, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

S&A FINANCIAL SERVICES, INC.

RICHARDS FINANCIAL SERVICES | SHEPARD & ASSOCIATES INC | SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC. | S&A FINANCIAL SERVICES, INC.

CRD#: 110471 / SEC#: 801-57170

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

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

Kansas
(1/28/2009)

IAR

Texas
(12/12/2021)

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

IAR

Series 66

Date: 12/29/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/31/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/13/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/1998

General Securities Principal Examination

Current Firm

S&A FINANCIAL SERVICES, INC.

RICHARDS FINANCIAL SERVICES | SHEPARD & ASSOCIATES INC | SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC. | S&A FINANCIAL SERVICES, INC.

CRD#: 110471 / SEC#: 801-57170

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

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Contact information

Main Address

8655 College Blvd., Suite 100, Overland Park, KS 66210-1835

Mailing Address

Phone number

(913) 362-2712

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,448
AUM (Assets Under Management)	$ 321,680,770

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.

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Firm Stability Insights

Craig S. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Steven Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTER MIDWEST, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

HUNTER MIDWEST, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ENERIC FINANCIAL SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

S&A FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2000

Series 63

Date: 7/31/1998

SIE

Date: 4/12/2017

Series 7

Date: 7/29/1998

Series 6

Date: 6/13/1988

Series 24

Date: 8/19/1998

Current Firm

S&A FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

S&A FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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