DR
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Donald Richard
32 Years of Experience
Lewiston, ME
1 DisclosureBroker
Donald Richard is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Lewiston, ME, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
475 Pleasant Street, Suite 13, Lewiston, ME, 04240
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2005Settled
Other Business Activities
Donald is the owner of Investment Concepts, working as an independent contractor. This takes about half of his time, including during trading hours.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
December 2015 - Present · 10 yrs 7 mos
Raymond James Financial Services, INC.Broker
December 2015 - Present · 10 yrs 7 mos
Previous Registrations
Investment Concepts
February 2007 - December 2014 · 7 yrs 10 mos
LPL Financial LLC
August 2002 - December 2015 · 13 yrs 4 mos
LPL Financial LLCBroker
May 2000 - December 2015 · 15 yrs 7 mos
Commonwealth Financial NetworkBroker
January 1995 - May 2000 · 5 yrs 4 mos
Northwestern Mutual Investment Services, INC.Broker
October 1993 - January 1995 · 1 yr 3 mos
Robert W. Baird & CO. IncorporatedBroker
October 1993 - January 1995 · 1 yr 3 mos
American Express Financial Advisors INC.Broker
July 1993 - September 1993 · 2 mos
Ids Life Insurance CompanyBroker
July 1993 - September 1993 · 2 mos
State Registrations26 states
AZCACOCTFLGAHIKSKYMAMDMEMINCNHNJNMNYOHORPARISCSDTXVA
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.