John R. Travis

RICHARD YOUNG ASSOCIATES, LTD.

AUGUSTA, GA 30907

Some features on this profile are disabled

CRD#: 5314369

Professional summary

John Randolph Travis is a registered financial advisor currently at RICHARD YOUNG ASSOCIATES, LTD. located in Augusta, Georgia.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. John has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) INDEPENDENT RIA/ FINANCIAL ADVISOR WITH "RICHARD YOUNG ASSOCIATES" SINCE 6/2007. INVESTMENT RELATED. APPROX 90% TIME SPENT. BUSINESS CONDUCTED AT 205 HUDSON TRACE, SUITE A, AUGUSTA, GA 30907. (2) THE MY WHY FOUNDATION; INVESTMENT-RELATED; AUGUSTA, GA; CHARITABLE 501C3; FOUNDER; 2020; APPROXIMATELY 30 HOURS/MO OUTSIDE TRADING HOURS; FOCUS IS TO EDUCATE THE UNDERSERVED TO UNDERSTAND AND USE OPEN STOCK MARKET ACCOUNTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Randolph Travis's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 12, 2010 - Present

RICHARD YOUNG ASSOCIATES, LTD.

Office #1: 205 Hudson Trace, Augusta, GA 30907

RIA

CRD#: 126124

AUGUSTA, GA

Past

August 11, 2010 - March 14, 2013

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

AUGUSTA, GA

Past

August 5, 2010 - September 30, 2016

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

AUGUSTA, GA

Past

November 2, 2009 - July 30, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

AUGUSTA, GA

Past

April 18, 2007 - November 3, 2009

MAIN STREET SECURITIES, LLC

CRD#: 47127

AUGUSTA, GA

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".

RICHARD YOUNG ASSOCIATES, LTD.

CRD#: 126124 / SEC#: 801-70318

RIA

Registered Investment Advisory firm - (6/22/2009 Approved)

Georgia

Registered Investment Advisory firm - (6/24/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(6/29/2010)

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 65

Date: 3/30/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/2007

General Securities Representative Examination

Current Firm

RICHARD YOUNG ASSOCIATES, LTD.

CRD#: 126124 / SEC#: 801-70318

RIA

Registered Investment Advisory firm - (6/22/2009 Approved)

Georgia

Registered Investment Advisory firm - (6/24/2009 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

205 Hudson Trace, Augusta, GA 30907

Mailing Address

Phone number

(706) 739-0725

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,709
AUM (Assets Under Management)	$ 972,379,424

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.

Similar Advisors

Richard Krawczeski

SEQUOIA FINANCIAL GROUP, L.L.C.

AKRON, OH

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Pietro Lombardi

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John R. Travis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Randolph Travis's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

NATIONAL PLANNING CORPORATION

MAIN STREET SECURITIES, LLC

Primary Firm SEC Registration

RICHARD YOUNG ASSOCIATES, LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2010

Series 63

Date: 11/22/2006

SIE

Date: 9/30/2016

Series 7

Date: 4/17/2007

Current Firm

RICHARD YOUNG ASSOCIATES, LTD.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD YOUNG ASSOCIATES, LTD.

TRUST BUT VERIFY

Similar Advisors