JL
James H. Leffel
RICHARDS MERRILL WEALTH MANAGEMENT
Spokane, WA 99201-0645
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CRD#: 4728656
JL
Professional summary
James Howard Leffel is a registered financial professional currently at RICHARDS MERRILL WEALTH MANAGEMENT located in Spokane, Washington.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Howard Leffel'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 21, 2004 - Present
RICHARDS MERRILL WEALTH MANAGEMENT
Office #1: 612 West Main Street The M Building Suite 201, Spokane, WA 99201-0645Office #2: 612 West Main Street The M Building Suite 201, Spokane, WA 99201RIA
BD
CRD#: 713
Spokane, WA
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".
RICHARDS MERRILL WEALTH MANAGEMENT
RICHARDS MERRILL WEALTH MANAGEMENT | RICHARDS, MERRILL & PETERSON, INC.
CRD#: 713 / SEC#: 801-113034, 8-71
RIA
Registered Investment Advisory firm - SEC (4/27/2018 Approved)Arizona
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)California
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)Montana
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (6/7/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Washington(1/3/2005)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RICHARDS MERRILL WEALTH MANAGEMENT
RICHARDS MERRILL WEALTH MANAGEMENT | RICHARDS, MERRILL & PETERSON, INC.
CRD#: 713 / SEC#: 801-113034, 8-71
RIA
Registered Investment Advisory firm - SEC (4/27/2018 Approved)Arizona
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)California
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)Montana
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (5/31/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (6/7/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
612 West Main Street The M Building Suite 201, Spokane, WA 99201-0645
Mailing Address
612 West Main Street The M Building Suite 201, Spokane, WA 99201
Phone number
(509) 624-3174
Established
Washington since 07/27/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
10
SEC notice filing (11 States and Territories)
FINRA licenses (28 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,061 |
| AUM (Assets Under Management) | $ 514,464,239 |
Disclosures
| Regulatory Event | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/15/2024 | ||
| 11/19/2023 | ||
| 01/25/2023 |
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.
