Jay Richman
Jay Richman is a registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 43 years of industry experience. Jay is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
1 Penn Plz Fl 27, New York, NY, 10119
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Regulatory History (1)
Customer Dispute
March 2008Other Business Activities
Jay acts as power of attorney for his mother, an investment-related activity. This requires a few hours per week, including time during trading hours.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Previous Registrations
First Albany CorporationBroker
Mabon, Nugent & CO.Broker
State Registrations37 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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