Amy Richardson, financial advisor Lone Tree CO
96 score

Amy Richardson

CRD Number: 5493587
Current Firm: Charles Schwab & Company, Inc.

Amy Richardson (CRD# 5493587) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Lone Tree, CO and has over 9 years of experience in the finance industry. Amy Richardson has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Charles Schwab & Company, Inc. Lone Tree, CO Sep 2016 - Current 1
Schwab Private Client Investment Advisory, Inc. Lone Tree, CO Sep 2016 - Dec 2016 < 1
Lpl Financial, LLC Denver, CO Sep 2012 - Aug 2016 3
Brown & Tedstrom Retirement Planning, Inc. Denver, CO Sep 2012 - Aug 2016 3
Harris Associates Securities LP Chicago, IL Nov 2011 - Jun 2012 < 1
Harris Associates LP Chicago, IL Nov 2011 - Jun 2012 < 1
Ubs Financial Services Inc. Chicago, IL Feb 2009 - Nov 2011 2
Barclays Capital Inc. Chicago, IL Sep 2008 - Feb 2009 < 1
Lehman Brothers Chicago, IL Feb 2008 - Sep 2008 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2008
Contact Info for Amy L. Richardson
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

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

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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