JR
Julie J. Richmond
TOUCHSTONE SECURITIES
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 3145597
JR
Professional summary
Julie Jean Richmond, who also goes by Julie Jean Smith, is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Julie is registered as a RR (Registered Representative) and started their career in finance in 1999. Julie has worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julie Jean Smith
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Julie Jean Richmond'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®
NoneExperience
Current
September 18, 2018 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Past
January 23, 2014 - September 17, 2018
SYMETRA SECURITIES, INC.
BD
CRD#: 739
BELLEVUE, WA
Past
July 24, 2012 - January 13, 2014
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
GREENWOOD VILLAGE, CO
Past
July 24, 2012 - January 13, 2014
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
GREENWOOD VILLAGE, CO
Past
December 6, 2006 - August 16, 2010
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
August 19, 2003 - July 19, 2006
AMERICAN GENERAL DISTRIBUTORS, INC.
BD
CRD#: 37449
HOUSTON, TX
Past
October 30, 2002 - January 14, 2003
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
December 14, 2001 - July 9, 2002
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 30, 2001 - May 4, 2001
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
May 20, 1999 - April 3, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(4/22/2021)
RR
Alaska(9/17/2020)
RR
Arizona(9/18/2018)
RR
Arkansas(4/22/2021)
RR
California(9/18/2018)
RR
Colorado(9/18/2018)
RR
Connecticut(4/22/2021)
RR
Delaware(4/22/2021)
RR
District of Columbia(4/22/2021)
RR
Florida(4/22/2021)
RR
Georgia(4/22/2021)
RR
Hawaii(4/22/2021)
RR
Idaho(4/3/2020)
RR
Illinois(4/22/2021)
RR
Indiana(4/22/2021)
RR
Iowa(4/22/2021)
RR
Kansas(4/22/2021)
RR
Kentucky(4/22/2021)
RR
Louisiana(4/22/2021)
RR
Maine(4/22/2021)
RR
Maryland(4/22/2021)
RR
Massachusetts(4/22/2021)
RR
Michigan(4/22/2021)
RR
Minnesota(4/22/2021)
RR
Mississippi(4/22/2021)
RR
Missouri(4/22/2021)
RR
Montana(4/3/2020)
RR
Nebraska(4/22/2021)
RR
Nevada(9/18/2018)
RR
New Hampshire(4/22/2021)
RR
New Jersey(4/22/2021)
RR
New Mexico(4/22/2021)
RR
New York(4/22/2021)
RR
North Carolina(4/22/2021)
RR
North Dakota(4/22/2021)
RR
Ohio(9/18/2018)
RR
Oklahoma(4/22/2021)
RR
Oregon(9/18/2018)
RR
Pennsylvania(4/22/2021)
RR
Puerto Rico(4/22/2021)
RR
Rhode Island(4/22/2021)
RR
South Carolina(4/22/2021)
RR
South Dakota(4/22/2021)
RR
Tennessee(4/22/2021)
RR
Texas(9/18/2018)
RR
Utah(9/18/2018)
RR
Vermont(4/22/2021)
RR
Virgin Islands(4/22/2021)
RR
Virginia(4/22/2021)
RR
Washington(9/18/2018)
RR
West Virginia(4/3/2020)
RR
Wisconsin(4/22/2021)
RR
Wyoming(4/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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.
Company Information
TOUCHSTONE SECURITIES, INC.
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
Monitor Julie Richmond
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
