Douglas Richards, financial advisor Palm Beach Gardens FL
73 score

Douglas Richards

CRD Number: 5398450
Current Firm: Legend Advisory Corporation

Douglas Richards (CRD# 5398450) is an Investment Advisor Representative working at Legend Advisory Corporation in Palm Beach Gardens, FL and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Legend Equities Corp Palm Beach Gardens, FL Aug 2007 - Current 9
Sam Hughes Championship Dining Tucson, AZ Nov 2006 - Oct 2007 < 1
Main Street & Main Street Inc. Tucson, AZ Aug 2004 - Oct 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2007
S66 NASAA Uniform Combined State Law Examination Dec 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Douglas L. Richards
Phone Number: (866) 774-8671
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    2,105
    MILLIONS
  • Total Number of Accounts
    29,775
    ACCOUNTS
  • Average Account Value
    $70,710
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
73

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