David K. 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 Kennedy Richards was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 12 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 99TO, Series 79TO, SIE, Series 1, Series 14, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1998 - August 16, 2022
FIRST AMERICAN FINANCIAL ADVISORS, INC.
March 19, 1992 - August 16, 2022
GREAT AMERICAN INVESTORS, INC.
January 1, 1992 - December 31, 1993
VOYA FINANCIAL ADVISORS, INC.
June 21, 1989 - April 1, 1992
BIRCHTREE FINANCIAL SERVICES LLC
August 25, 1987 - June 23, 1989
RODMAN & RENSHAW INC.
April 10, 1984 - September 2, 1987
LOWELL H. LISTROM & COMPANY INC.
January 31, 1980 - April 30, 1984
UBS FINANCIAL SERVICES INC.
July 14, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 12, 1977 - August 14, 1978
WHITE, WELD & CO. INCORPORATED
November 25, 1975 - October 8, 1977
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 25, 1974 - December 24, 1975
A. G. EDWARDS & SONS, INC.
May 22, 1970 - April 16, 1974
H.O. PEET & CO., INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 1/14/1969
Registered Representative ExaminationSeries 28
Date: 1/28/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST AMERICAN FINANCIAL ADVISORS, INC.
CRD#: 113420 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 10,125,798 |
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.
