Peter F. Richardson
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.
Peter Forrest Richardson was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2002. Peter had worked at 3 firms and has passed the Series 65 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 9, 2006 - January 11, 2022
R M DAVIS INC
November 12, 2003 - April 2, 2004
VICTORY CAPITAL MANAGEMENT INC.
January 10, 2002 - April 20, 2006
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
R M DAVIS INC
CRD#: 105448 / SEC#: 801-13878
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
R M DAVIS INC
CRD#: 105448 / SEC#: 801-13878
Contact information
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,881 |
| AUM (Assets Under Management) | $ 7,267,414,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 11/26/2024 | ||
| 12/22/2023 | ||
| 11/21/2022 |
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.
