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Christopher Richards

11 Years of Experience
New Haven, CT
1 DisclosureBroker

Christopher Richards is a registered investment advisor at Park Avenue Securities LLC, based in New Haven, CT, with 11 years of industry experience. Christopher operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Financial Planning & Coaching, Retirement Planning. Their firm serves 71,074 clients with $15B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1877 advisors
Number of Clients
71,074 clients
Average Client Portfolio
$211K average
Assets Under Management
$15.0B

Fee Structure

Park Avenue Securities (PAS) offers investment management through various programs. Some programs charge an all-inclusive bundled fee based on the value of your investments. This fee covers investment advice, trading, and other administrative costs. Fees vary depending on the specific program you choose. PAS also offers a digital advisory program called VestWise with a lower fee structure. PAS representatives are compensated for servicing your accounts, and this compensation may be more than if you paid separately for investment advice and brokerage services.

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Location

555 Long Wharf Drive, Suite 11A, New Haven, CT, 06511

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History

Regulatory History (1)
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.
Employment Separation After Allegations
September 2019
Employment History
Current Registrations
Park Avenue Securities LLC
April 2023 - Present · 3 yrs 1 mo
Park Avenue Securities LLCBroker
April 2023 - Present · 3 yrs 1 mo
Previous Registrations
Prudential Financial Planning Services
April 2022 - April 2023 · 1 yr
Pruco Securities, LLC.Broker
July 2021 - April 2023 · 1 yr 9 mos
MML Investors Services, LLCBroker
May 2020 - July 2021 · 1 yr 2 mos
Nylife Securities LLCBroker
June 2014 - October 2019 · 5 yrs 4 mos
State Registrations1 state
CT
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.
Christopher Richards - Financial Advisor | TrueAdvisor