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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

BERNARD RICHARDS

Advisor at WELLS FARGO ADVISORS

LUTHERVILLE, MD

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Search this name across graphsid dfx:ria:b377d8be-77bc-5a9f-7915-e4a250b057ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Aug 1, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 29, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 29, 2005
First registration: Aug 1, 2005
Dual registered: yes, broker-dealer
Other names: Bernie Richards|Bernard Richards|BERNARD WILLIAM RICHARDS
IAPD individual key: 4855878

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Apr 2, 2024	n/a	yes	LUTHERVILLE, MD	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 9, 2021	Apr 17, 2024	no	BALTIMORE, MD\|BALTIMORE, MD\|ANNAPOLIS, MD\|TOWSON, MD\|TOWSON, MD\|TOWSON, MD\|TOWSON, MD\|TIMONIUM, MD\|LUTHERVILLE, MD	Previous registration
M&T SECURITIES, INC.	n/a	Aug 23, 2016	Jun 9, 2021	no	TIMONIUM, MD\|TOWSON, MD\|TOWSON, MD\|Timonium, MD\|Timonium, MD\|BALTIMORE, MD\|BALTIMORE, MD\|TOWSON, MD\|LUTHERVILLE, MD\|TOWSON, MD\|ANNAPOLIS, MD\|BALTIMORE, MD	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	May 12, 2016	Sep 9, 2016	no	Hunt Valley, MD	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 29, 2013	May 5, 2016	no	BALTIMORE, MD\|SCOTTSDALE, AZ\|BALTIMORE, MD\|BALTIMORE, MD	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 2, 2008	Oct 9, 2013	no	ELKRIDGE, MD	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 1, 2005	Mar 28, 2008	no	OWINGS MILLS, MD\|OWINGS MILLS, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Apr 17, 2024	Apr 2, 2024	-15	Firm change	Ibd to wirehouse
M&T SECURITIES, INC.	LPL FINANCIAL LLC	Jun 9, 2021	Jun 9, 2021	0	Bulk transfer	Other
PARK AVENUE SECURITIES LLC	M&T SECURITIES, INC.	Sep 9, 2016	Aug 23, 2016	-17	Firm change	Other
SAGEPOINT FINANCIAL, INC.	PARK AVENUE SECURITIES LLC	May 5, 2016	May 12, 2016	7	Firm change	Other
MSI FINANCIAL SERVICES, INC.	SAGEPOINT FINANCIAL, INC.	Oct 9, 2013	Oct 29, 2013	20	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Mar 28, 2008	Apr 2, 2008	5	Firm change	Other

Relationships

Registered with (7)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Apr 2, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 9, 2021 to Apr 17, 2024factForm ADV
→ M&T SECURITIES, INC.Registered adviserregistration: previous registration
Aug 23, 2016 to Jun 9, 2021factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
May 12, 2016 to Sep 9, 2016factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 29, 2013 to May 5, 2016factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 2, 2008 to Oct 9, 2013factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 1, 2005 to Mar 28, 2008factForm ADV

Dated events

Occurred
Apr 17, 2024
Advisor changed firm
Bernard Richards left Lpl Financial Llc for Wells Fargo Advisors (registered 2024-04-02)
Form ADVobserved 6 days ago