David Harry Richman

Current Employers

Employment History

• 03/2016 → Present
  Raymond James & Associates, Inc.
  San Diego, CA

Previous Registrations

• 2016-03-02 → 2016-04-11
  Comerica Securities
  Los Angeles, CA
• 2013-02-05 → 2015-02-09
  Kestra Private Wealth Services, Llc
  Austin, TX
  Brea, CA
• 2009-06-01 → 2013-01-11
  Morgan Stanley
  Pasadena, CA
  Irvine, CA
  Newport Beach, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Pasadena, CA
• 1998-08-24 → 2007-04-02
  Morgan Stanley Dw Inc.
  Pasadena, CA
  Torrance, CA

Other Businesses

(1)Name of Business: Cycle of Lives Address: 2809 La Mesa Drive, Henderson, NV, 89014, United States Activity Type: Non profit Position/Title: Officer - CEO Investment Related: Yes Start Date: 04/04/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: To advance the objective of raising funds and awareness for cancer care and treatment (2)Name of Business: Middleview Publications Address: 15065 Calle Juanito, San Diego, CA, 92129, United States Activity Type: Other Position/Title: Author Investment Related: No Start Date: 04/04/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is the entity with which I self-publish books, guidebooks, and blogs. I also plan to have traditional books published versus self-published. Non of the subject matter is industry-related or involves giving financial advice.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-09-25
• S63 Uniform Securities Agent State Law Examination
  1996-09-19