Jeffrey Richardson, financial advisor Venice FL
73 score

Jeffrey Richardson

CRD Number: 6011147
Current Firm: Capital Markets Iq, LLC

Jeffrey Richardson (CRD# 6011147) is an Investment Advisor Representative working at Capital Markets Iq, LLC in Venice, FL and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Markets Iq, LLC Wilmington, DE Nov 2016 - Current 1
Regions Bank Atlanta, GA Mar 2016 - Nov 2016 < 1
Cetera Investment Advisers LLC Atlanta, GA Mar 2016 - Nov 2016 < 1
Cetera Investment Services LLC St.cloud, MN Mar 2016 - Nov 2016 < 1
Wells Fargo Advisors, LLC Savannah, GA Jan 2014 - Mar 2016 2
Edward Jones St. Louis, MO Jan 2012 - Jan 2014 2
Sugarloaf Media Group, LLC Duluth, GA Feb 2010 - Dec 2011 1
None Duluth, GA Feb 2009 - Feb 2010 1
C.thompson & Associates Suwanee, GA Jan 2007 - Feb 2009 2
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Mar 2009
S66 NASAA Uniform Combined State Law Examination Feb 2012
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 Jeffrey L. Richardson
Phone Number: 310.882.6380
Registered State(s):
  • FL
  • GA
By the Numbers
  • Total Assets Under Management
    254
    MILLIONS
  • Total Number of Accounts
    627
    ACCOUNTS
  • Average Account Value
    $405,220
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

AR, AZ, CA, CO, DE, FL, GA, IL, LA, MA, MD, MI, MO, NC, NE, NH, PA, TN, TX, VA

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BADGES
73

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