BM
Brian H. Maxfield
RICHARDSON FINANCIAL SERVICES
MEDWAY, MA 02053
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CRD#: 3046156
BM
Professional summary
Brian Howard Maxfield, CFP® is a registered financial advisor currently at RICHARDSON FINANCIAL SERVICES located in Medway, Massachusetts and J.W. COLE FINANCIAL, INC. located in Medway, Massachusetts.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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) RICHARDSON FINANCIAL SERVICES; YES-INVESTMENT RELATED; 165 VILLAGE STREET MEDWAY, MA 02053; ASSET MANAGEMENT; FINANCIAL PLANNER; 10/2003; 80 HOURS PER MONTH DEVOTED TO OTHER BUSINESS; 80 HOURS PER MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; FINANCIAL PLANNING AND ASSET MANAGEMENT. 2) JR INSURANCE BROKERAGE; YES-INVESTMENT RELATED; 165 VILLAGE STREET MEDWAY, MA 02053; FIXED ANNUITIES, TERM LIFE INSURANCE AND LTC; AGENT/REPRESENTATIVE; 10/2003; 4 HOURS PER MONTH DEVOTED TO OTHER BUSINESS; 4 HOURS PER MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; PRESENTING APPROPRIATE INVESTMENT/INSURANCE OPTIONS TO CLIENTS. 3) BMAX PICKLEBALL; NON-INVESTMENT RELATED; 9 TROTTERS LANE, PO BOX 233, WEST TISBURY, MA 02575; COACH; START DATE 11/01/2022; 5 HOURS PER MONTH DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Howard Maxfield'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: 2001
Experience
Current
December 2, 2004 - Present
RICHARDSON FINANCIAL SERVICES
Office #1: 165 Village St, Medway, MA 02053RIA
CRD#: 130715
MEDWAY, MA
Current
March 5, 2020 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 165 Village Street, Medway, MA 02053BD
CRD#: 124583
Medway, MA
Past
January 5, 2004 - March 11, 2020
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
MEDWAY, MA
Past
April 28, 1998 - December 19, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 28, 1998 - December 19, 2003
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".
RF
RICHARDSON FINANCIAL SERVICES
RICHARDSON FINANCIAL SERVICES | RICHARDSON FINANCIAL SERVICES INC.
CRD#: 130715 / SEC#: 801-119439
RIA
Registered Investment Advisory firm - (9/11/2020 Approved)Massachusetts
Registered Investment Advisory firm - (9/30/2020 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
California(3/5/2020)
RR
Connecticut(3/5/2020)
RR
Florida(3/5/2020)
RR
Maine(3/5/2020)
IAR
Massachusetts(12/2/2004)
RR
Massachusetts(3/5/2020)
RR
Michigan(3/5/2020)
RR
Montana(3/5/2020)
RR
New Hampshire(3/5/2020)
RR
New Mexico(3/5/2020)
RR
North Carolina(3/18/2020)
RR
Pennsylvania(3/5/2020)
RR
Rhode Island(3/5/2020)
RR
South Carolina(4/25/2022)
RR
Texas(3/5/2020)
IAR
Texas(11/27/2023)
RR
Vermont(3/5/2020)
RR
Virginia(3/5/2020)
RR
Washington(3/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RICHARDSON FINANCIAL SERVICES
RICHARDSON FINANCIAL SERVICES | RICHARDSON FINANCIAL SERVICES INC.
CRD#: 130715 / SEC#: 801-119439
RIA
Registered Investment Advisory firm - (9/11/2020 Approved)Massachusetts
Registered Investment Advisory firm - (9/30/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
165 Village St, Medway, MA 02053
Mailing Address
Phone number
(508) 533-2335
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 602 |
| AUM (Assets Under Management) | $ 212,852,046 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RICHARDSON FINANCIAL SERVICES
CRD#: 130715Medway, MA 02053TRUST BUT VERIFY
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