Douglas L. Richards
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.
Douglas Loren Richards, CFP®, who also goes by Doug Richards, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2007. Douglas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2023
Experience
April 3, 2023 - April 10, 2024
GRADIENT ADVISORS, LLC
August 11, 2020 - March 28, 2022
SECURE INVESTMENT MANAGEMENT, LLC
February 22, 2019 - September 24, 2019
CAPITAL ANALYSTS
June 19, 2017 - September 24, 2019
LINCOLN INVESTMENT
January 3, 2017 - September 24, 2019
LINCOLN INVESTMENT
January 5, 2010 - September 24, 2019
LEGEND ADVISORY, LLC
August 13, 2007 - January 3, 2017
LEGEND EQUITIES CORPORATION
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
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
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
