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Registered advisor

D•••••• E••• R•••••••

C•••• F••••••••• L••state registeredElmira, OrIA-onlyIAPD 2356765

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Doug R•••••••

At current firm

2 y

since Sep 19, 2024

In the industry

33 y

since Jun 3, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Professional profile: linkedin.com/in/doug-richards-clu®-chfc®-cfp®-aifa®-cpfa-®-6946398reportedadviserinfo.sec.govForm ADV Item 1.I, Sep 14, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

C•••• F••••••••• L•• state registered current
since Sep 19, 2024 · Elmira, Or
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Sep 19, 2024 · Elmira, Or
S••••••••• A•••••• A•••••••• I••• former
Jan 23, 2009 to Jun 14, 2024 · Elmira, Or
B••••• • Y•••• A•••••••• I••• former
Mar 22, 2006 to Jan 23, 2009 · Folsom, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to C•••• F••••••••• L••
left Sep 19, 2024, registered Sep 19, 2024 (0 days) · Affiliated broker-dealer or bank to a state-registered adviser
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move

Signals

D•••••• E••• R••••••• left O•••• W•••••• I••• for C•••• F••••••••• L•• (registered 2024-09-19)
Sep 19, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address