Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Richman is a financial advisor with over 25 years of experience in the financial services industry. David is currently registered with Raymond James & Associates, Inc., and holds licenses in Broker/Dealer and Investment Advisor. David has held previous positions with firms such as ComERICA Securities, NFP ADVISOR SERVICES, LLC, LPL FINANCIAL LLC, Morgan Stanley, and Morgan Stanley & Co. Incorporated. David has a wide range of experience and expertise in various financial products and services, including portfolio management, financial planning, and investment advisory.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/20/2018 - Present
Raymond James & Associates, Inc. (San Diego CA)
CA
03/02/2016 - 04/11/2016
COMERICA SECURITIES (LOS ANGELES CA)
CA
02/28/2014 - 02/09/2015
NFP ADVISOR SERVICES, LLC (SAN DIEGO CA)
CA
02/04/2013 - 03/07/2014
LPL FINANCIAL LLC (BREA CA)
CA
06/01/2009 - 01/11/2013
MORGAN STANLEY (NEWPORT BEACH CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PASADENA CA)
CA
08/26/1996 - 04/02/2007
MORGAN STANLEY DW INC. (PASADENA CA)
IA
Issued 09/25/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 05/09/2003
Series 3 - National Commodity Futures Examination
BC
Issued 08/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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