Brian M. Richmond

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CRD#: 4882411

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.

Brian Michael Richmond, who also goes by Brian Richmond, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2005. Brian had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Richmond

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)Name of Business : NA Address: Boca Raton Fl, and Potomac, MD Nature of the Business: Rental Real Estate Position/Title: Proprietor/Owner Investment Related:Yes Start Date: 11/01/2003 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 0 Description of duties: former residence owned jointly with spouse - now a rental property 2)THE MEAKEM GROUP, LLC, NON-INVESTMENT RELATED SUPPORT COMPANY, 11/2012 TO PRESENT, BETHESDA, MD, EMPLOYEE, 0 HOURS/WEEK, 0 HOURS DURING TRADING, NO DUTIES. 3)MONTGOMERY COMMUNITY COLLEGE. ROCKVILLE, MD. NOT INVESTMENT RELATED. STARTED: 02/2016. 3 HRS PER MONTH AND 0 DURING TRADING HRS. PROFESSOR/TEACHER TEACHING THE FUNDAMENTALS OF INVESTMENTS. 4) Richmond Financial Group Address: 51 Monroe Street, suite 1706,Rockville, MD Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 01/01/2017 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: President/Owner

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 11, 2013 - February 28, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Bethesda, MD

Past

January 10, 2013 - February 28, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BETHESDA, MD

Past

October 6, 2011 - January 8, 2013

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

BETHESDA, MD

Past

September 29, 2011 - January 8, 2013

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

BETHESDA, MD

Past

February 19, 2010 - August 9, 2011

INVESTFORLESS

RIA

CRD#: 151577

WHITE STONE, VA

Past

March 10, 2006 - February 11, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BETHESDA, MD

Past

March 10, 2006 - February 11, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BETHESDA, MD

Past

February 21, 2006 - April 5, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

February 21, 2006 - April 5, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 14, 2005 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BETHESDA, MD

Past

May 10, 2005 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/13/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/9/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2015

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Brian M. Richmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL PLANNING SERVICES

INVESTFORLESS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2005

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2005

Series 24

Date: 12/22/2015

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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