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Richard Paris

Raymond James & Associates, INC.
31 Years of Experience
Louisville, KY
2 DisclosuresBroker
View SEC Summary
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Richard Paris is a registered investment advisor at Raymond James & Associates, INC., based in Louisville, KY, with 31 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4969 Us Hwy 42, Suite 1600, Louisville, KY, 40222

Get directions

History

Regulatory History (2)
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
January 2009
Denied
Customer Dispute
March 2005
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard serves as a pastor and Presiding Elder/Apostle for the Remnant Church of Jesus Christ of Latter Day Saints, dedicating about 10-20% of his time to this role. He also leads missionary efforts in the eastern region of the country.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
March 2016 - Present · 10 yrs 7 mos
Raymond James & Associates, INC.
March 2016 - Present · 10 yrs 7 mos
Previous Registrations
UBS Financial Services INC.Broker
October 2008 - March 2016 · 7 yrs 5 mos
UBS Financial Services INC.
October 2008 - March 2016 · 7 yrs 5 mos
Wachovia Securities, LLCBroker
January 2008 - October 2008 · 9 mos
Wachovia Securities, LLC
January 2008 - October 2008 · 9 mos
A. G. Edwards & Sons, INC.
January 2005 - January 2008 · 3 yrs
A. G. Edwards & Sons, INC.
December 1998 - January 2005 · 6 yrs 1 mo
A. G. Edwards & Sons, INC.Broker
November 1995 - January 2008 · 12 yrs 2 mos
Pruco Securities CorporationBroker
September 1994 - September 1995 · 1 yr
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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.
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