David C. Richards
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Carl Richards III, CFP®, who also goes by Carl Richards, David C Richards, David Carl Richards, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2012 - August 30, 2016
BUCKINGHAM STRATEGIC WEALTH, LLC
August 30, 2007 - December 31, 2008
SILVERSTONE WEALTH MANAGEMENT, LLC
November 18, 2004 - March 30, 2012
PRASADA CAPITAL, LLC
October 12, 1999 - November 18, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1999 - November 18, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 1997 - September 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1996 - January 21, 1997
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BUCKINGHAM STRATEGIC WEALTH, LLC
CRD#: 143323 / SEC#: 801-67640
Contact information
Regulatory assets under management
| Total Number of Accounts | 51,749 |
| AUM (Assets Under Management) | $ 29,509,452,509 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/24/2024 | ||
| 07/22/2022 |
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.
