David S Richards
Professional Summary
David S Richards, who also goes by Dave S Richards Jr, Dave S Richards, Dave Stanley Richards Jr, David Stanley Richards Jr, is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Watauga, Texas and JOHN HANCOCK DISTRIBUTORS LLC located in Pembroke, Massachusetts. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 5 firms...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave S Richards Jr, Dave S Richards, Dave Stanley Richards Jr, David Stanley Richards Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
Contact Information
Main Address
200 Berkeley Street, Boston, MA 02116Phone Number
(617) 572-0109# of Employees
149SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
35,589AUM (Assets Under Management)
$2,198,064,234Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/22/2026 | Cover Page | Report |
| 01/21/2025 | Cover Page | Report |
| 04/22/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(10/5/2022)
(6/5/2024)
(9/27/2022)
(5/1/2024)
(4/17/2024)
(4/7/2022)
(5/18/2021)
(5/25/2021)
(4/8/2022)
(6/7/2024)
(4/18/2024)
(4/17/2024)
(8/8/2024)
(4/22/2021)
(5/19/2021)
(6/5/2024)
(6/5/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2006About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David S Richards's CRS (Customer Relationship Summary).
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