Howard C. Richardson
INVESTMENT MANAGEMENT & PLANNING LLC
Greenville, DE 19807
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CRD#: 2175911
Professional summary
Howard Calvert Richardson, CFP® is a registered financial advisor currently at INVESTMENT MANAGEMENT & PLANNING LLC located in Greenville, Delaware and LPL FINANCIAL LLC located in Fort Myers, Florida.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Howard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Estate Planning
Investment Planning
Comprehensive Financial Planni...
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. 4/22/2003: DBA ONLY - DELAWARE RETIREMENT PLANNERS, INC. - GREENVILLE, DE. 2. 4/13/2010: REAL ESTATE RENTAL - DOUBLE BOGEY PARTNERS - 4 RENTAL PROPERTIES, RESIDENTIAL ...NO RENTERS ARE CLIENTS. - TIME SPENT 2% - MILLSBROU, DE. 3. 4/23/2010: REAL ESTATE RENTAL - CERBERUS REAL ESTATE - 3 RENTAL PROPERTIES, NO CLIENTS ARE INVOLVED. - TIME SPENT 5% - BOWERS BEACH & WILMINGTON, DE. 4. 7/29/2010: REGISTERED INVESTMENT ADVISOR DBA - (FP) INVESTMENT MANAGEMENT & PLANNING - INVESTMENT MANAGEMENT & PLANNING, LLC - TIME SPENT 5% - GREENVILLE, DE. 5. 2/4/2015: REGISTERED INVESTMENT ADVISOR - INVESTMENT MANAGEMENT & PLANNING - START DATE=03/01/2015 - INVESTMENT RELATED - 40 HOURS PER MONTH DURING TRADING - 20 MONTCHANIN ROAD SUITE 270, GREENVILLE DE 19807. 6. 7/31/2020 - Pinehurst Golf Hospitality LLC - Investment Related - Pinehurst NC - Real Estate Rental - Start Date: 7/1/2020 - 2 Hours Per Month/0 Hours During Securities Trading. 7. 06/27/2022 - Kaffe Karma - Not Investment Related - 342 Buckley Mill Road Greeenville DE 19807 - Other - Business Owner - Start Date - 08/01/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Howard Calvert Richardson'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®
CFP®
Start date: 1996
Experience
Current
February 25, 2002 - Present
INVESTMENT MANAGEMENT & PLANNING LLC
Office #1: 20 Montchanin Road Suite 270, Greenville, DE 19807RIA
CRD#: 146041
Greenville, DE
Current
August 1, 1997 - Present
LPL FINANCIAL LLC
Office #1: 6361 Presidential Ct Unit C-108, Fort Myers, FL 33919-3543Office #2: 20 Montchanin Rd, Ste 270, Greenville, DE 19807RIA
BD
CRD#: 6413
FORT MYERS, FL
Past
August 19, 1997 - September 7, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
DEWEY BEACH, DE
Past
February 17, 1992 - August 18, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 17, 1992 - August 18, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
IM
INVESTMENT MANAGEMENT & PLANNING LLC
INVESTMENT MANAGEMENT & PLANNING LLC
CRD#: 146041 / SEC#: 801-107553
RIA
Registered Investment Advisory firm - (4/4/2016 Approved)Delaware
Registered Investment Advisory firm - (2/27/2017 Terminated)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.RR
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
RR
Arizona(6/29/2004)
RR
California(2/15/2000)
RR
Connecticut(11/2/2005)
RR
Delaware(8/1/1997)
IAR
Delaware(2/25/2002)
RR
Florida(8/7/1997)
RR
Illinois(1/16/2013)
RR
Indiana(9/10/2011)
RR
Louisiana(10/11/2017)
RR
Maine(11/12/2020)
RR
Maryland(8/1/1997)
RR
Massachusetts(8/6/2003)
RR
Michigan(1/2/2014)
RR
Missouri(1/23/2012)
RR
Nevada(5/16/2018)
RR
New Hampshire(1/2/2014)
RR
New Jersey(8/28/2002)
RR
New York(5/9/2000)
RR
North Carolina(1/4/2001)
RR
Ohio(11/25/2013)
RR
Oregon(7/30/2018)
RR
Pennsylvania(8/1/1997)
IAR
Pennsylvania(4/4/2016)
RR
Puerto Rico(11/16/2012)
RR
South Carolina(8/6/1997)
RR
Tennessee(4/13/2021)
RR
Texas(8/6/2003)
IAR
Texas(4/4/2016)
RR
Vermont(2/7/2023)
RR
Virginia(8/5/1997)
RR
West Virginia(10/11/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IM
INVESTMENT MANAGEMENT & PLANNING LLC
INVESTMENT MANAGEMENT & PLANNING LLC
CRD#: 146041 / SEC#: 801-107553
RIA
Registered Investment Advisory firm - (4/4/2016 Approved)Delaware
Registered Investment Advisory firm - (2/27/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
20 Montchanin Road Suite 270, Greenville, DE 19807
Mailing Address
Phone number
(302) 654-5449
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 492 |
| AUM (Assets Under Management) | $ 205,167,419 |
Red Flags
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Company Information
INVESTMENT MANAGEMENT & PLANNING LLC
CRD#: 146041Greenville, DE 19807TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
