David James Richmond
Professional Summary
David James Richmond, who also goes by David Richmond, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in San Dimas, California. David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Richmond
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Years of Experience
33 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Current Firm
CENTAURUS FINANCIAL, INC.
Contact Information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806Phone Number
(714) 456-1790Established
California since 08/27/1992Firm Type
CorporationFiscal Year End
AprilFirm Size
Large# of Employees
571SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | — |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | SVP/CFO/FINANCIAL AND OPERATIONS PRINCIPAL | — |
Regulatory Assets Under Management
Total Number of Accounts
45,336AUM (Assets Under Management)
$9,740,127,253Disclosures
Regulatory Event
19Arbitration
8Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
State Registrations and Notice Filings
(11/12/2025)
(4/17/2024)
(9/22/2026)
(3/18/2025)
(4/17/2024)
(4/17/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1993About the Series 6 examSRO Registrations
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
CRS (Client Relationship Summary) - BD
Click below to view David James Richmond's CRS (Customer Relationship Summary).
Similar Advisors
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC
FALCON WEALTH PLANNING, LLC