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Barry Richter
40 Years of Experience
Devon, PA
9 DisclosuresBroker
Barry Richter is a registered investment advisor at Raymond James & Associates, INC., based in Devon, PA, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
92 Lancaster Avenue, Suite 205, Devon, PA, 19333
Get directionsHistory
Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2020Settled
Customer Dispute
January 2018Settled
Customer Dispute
December 2009Denied
Customer Dispute
June 2000Settled
Customer Dispute
May 2000Settled
Customer Dispute
April 2000Settled
Customer Dispute
August 1999Denied
Customer Dispute
July 1999Settled
Customer Dispute
October 1994Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2009 - Present · 17 yrs 3 mos
Raymond James & Associates, INC.Broker
October 2008 - Present · 17 yrs 7 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - November 2008 · 1 yr 7 mos
Morgan Stanley Dw INC.Broker
August 2002 - April 2007 · 4 yrs 8 mos
UBS Painewebber INC.Broker
May 1987 - August 2002 · 15 yrs 3 mos
Halpert, Oberst and CompanyBroker
July 1985 - May 1987 · 1 yr 10 mos
State Registrations19 states
CACTDEFLILLAMDMINCNJNVNYPARISCTNVAWAWV
AdvisorBrokerBoth
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
No exam information available for this advisor.