Richard C. Jackson

JACKSON & ASSOCIATES

Albuquerque, NM 87122

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CRD#: 5922032

Professional summary

Richard Carl Jackson, CFP® is a registered financial advisor currently at JACKSON & ASSOCIATES, INC. located in Albuquerque, New Mexico.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Richard 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.

Western Assurance Agency. Jackson & Associates. Investment related. Agent/broker. Sales of fixed insurance products, including fixed annuities, fixed life insurance, LTC and Disability Income Insurance. Start 10/28/15.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Carl Jackson'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

July 2, 2021 - Present

JACKSON & ASSOCIATES, INC.

Office #1: 8300 Carmel Ave. Ne Suite 202, Albuquerque, NM 87122

RIA

CRD#: 315102

Albuquerque, NM

Past

January 13, 2016 - July 30, 2021

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

Albuquerque, NM

Past

January 7, 2016 - July 30, 2021

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

Albuquerque, NM

Past

October 28, 2011 - January 13, 2016

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

ALBUQUERQUE, NM

Past

June 14, 2011 - January 13, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

ALBUQUERQUE, NM

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

New Mexico
(7/2/2021)

IAR

Texas
(7/26/2021)

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: 10/25/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2011

General Securities Representative Examination

Current Firm

JACKSON & ASSOCIATES, INC.

CRD#: 315102 / SEC#: 801-132590

RIA

Registered Investment Advisory firm - (5/12/2025 Terminated)

New Mexico

Registered Investment Advisory firm - (6/24/2021 Approved)

Texas

Registered Investment Advisory firm - (6/28/2021 Conditional Restricted)

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).

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Contact information

Main Address

8300 Carmel Ave. Ne Suite 202, Albuquerque, NM 87122

Mailing Address

Phone number

(505) 944-8404

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	91
AUM (Assets Under Management)	$ 94,761,107

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.

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Richard C. Jackson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Carl Jackson's CRS (Customer Relationship Summary).

Certified licenses

Experience

JACKSON & ASSOCIATES, INC.

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2011

Series 63

Date: 6/20/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2011

Current Firm

JACKSON & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JACKSON & ASSOCIATES, INC.

TRUST BUT VERIFY

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