David S. Richmond

RICHMOND BROTHERS

Jackson, MI 49202

Some features on this profile are disabled

CRD#: 2256619

Professional summary

David Scott Richmond, ChFC®, CLU® is a registered financial advisor currently at RICHMOND BROTHERS, INC. located in Jackson, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 6 firms and has passed the Series 65, Series 63, Series 7 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.

INDEPENDENT INSURANCE AGENT SELLING FIXED LIFE INSURANCE, LONG TERM CARE AND FIXED ANNUITIES. RICHMOND BROTHERS PLACE, LLC OWNER, STARTED 1999 INVESTED/ REAL ESTATE; RICHMOND BROTHERS CHAIRMAN/CIO STARTED 1994 ANNUITIES LIFE RENEWALS. NON-PROFIT ORGANIZATIONS; LINGAP CHILDREN'S FOUNDATION BOARD MEMBER; BIOVENTRIX, INC, BOARD MEMBER; BOARD ACTIVITIES ARE NON-INVESTMENT RELATED AND CONSUME UP TO 10 DAYS PER YEAR. RBI PI MANAGER, LLC, 3568 WILDWOOD AVE, JACKSON MI, MANAGING MEMBER, 2016, UP TO 50% OF TIME SPENT WITH THIS ACTIVITY INCLUDING DURING TRADING HOURS. RBI PI MANAGER, LLC IS A PRIVATE FUND MANAGER. 1 RICHMOND BROTHERS PLACE, 3568 WILDWOOD AVE, JACKSON, MI, MANAGING MEMBER, UP TO 1 DAY PER YEAR DURING TRADING HOURS, HOLD COMPANY ONLY FOR RICHMOND BROTHERS INC. OFFICE BUILDING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott 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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

September 28, 2011 - Present

RICHMOND BROTHERS, INC.

Office #1: 3568 Wildwood Avenue, Jackson, MI 49202

RIA

CRD#: 158916

Jackson, MI

Past

November 20, 2008 - September 29, 2011

SPC

RIA

CRD#: 110692

JACKSON, MI

Past

May 10, 2006 - September 29, 2011

PARKLAND SECURITIES, LLC

CRD#: 115368

JACKSON, MI

Past

May 24, 2001 - May 11, 2006

LPL FINANCIAL LLC

CRD#: 6413

JACKSON, MI

Past

August 28, 1998 - May 29, 2001

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 6, 1992 - August 28, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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".

RICHMOND BROTHERS, INC.

CRD#: 158916 / SEC#: 801-72736

RIA

Registered Investment Advisory firm - (9/28/2011 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

Florida
(1/25/2012)

IAR

Michigan
(9/28/2011)

IAR

North Carolina
(9/29/2011)

IAR

Ohio
(9/29/2011)

IAR

Texas
(9/28/2011)

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 65

Date: 12/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/24/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/1998

General Securities Principal Examination

Current Firm

RICHMOND BROTHERS, INC.

CRD#: 158916 / SEC#: 801-72736

RIA

Registered Investment Advisory firm - (9/28/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3568 Wildwood Avenue, Jackson, MI 49202

Mailing Address

Phone number

(517) 435-4040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RB - FORM ADV PART 2A - FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,899
AUM (Assets Under Management)	$ 241,700,000

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.

Similar Advisors

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Brett Phillips

VOYA FINANCIAL ADVISORS, INC.

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David S. Richmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Richmond's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

PARKLAND SECURITIES, LLC

LPL FINANCIAL LLC

SUNAMERICA SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

RICHMOND BROTHERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/1997

Series 63

Date: 8/13/1992

Series 7

Date: 7/24/1992

Series 24

Date: 11/2/1998

Current Firm

RICHMOND BROTHERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHMOND BROTHERS, INC.

TRUST BUT VERIFY

Similar Advisors