J H. Richey
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.
J Hugh Richey was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1981. J had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2015 - June 21, 2017
RAI WEALTH MANAGEMENT
July 2, 1992 - November 26, 2015
RICHEY ADVISORS, INC.
June 13, 1986 - March 30, 2012
RICHEY FINANCIAL GROUP, INC.
April 1, 1986 - July 2, 1986
VANGUARD FINANCIAL GROUP, INC.
June 29, 1983 - April 1, 1986
COAST FINANCIAL ADVISORS, INC.
June 22, 1981 - June 21, 1983
LPL FINANCIAL LLC
Primary Firm SEC Registration
RAI WEALTH MANAGEMENT
CRD#: 277137 / SEC#: 801-131970
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
RAI WEALTH MANAGEMENT
CRD#: 277137 / SEC#: 801-131970
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 135,905,953 |
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.
