Liselotte Anne Richards

Employer firm

Seia CRD 108163

$22.5B regulatory AUM 114 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 11/2018
  Sii
  Los Angeles, CA
• 08/2014 → Present
  Seia Llc
  Los Angeles, CA
• 11/2018 → 07/2023
  Royal Alliance Associates, Inc.
  Los Angeles, CA
• 07/2023 → Present
  Ses Llc
  Los Angeles, CA

Other Businesses

POSITION: Sr. Operations & Service Specialist NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 08/27/2014 ADDRESS: 2121 Ave of the Stars, Suite 1600, Los Angeles CA 90067, United States DESCRIPTION: Compliance/Operations Specialist at Independent RIA SEIA, LLC.

Exams

• S66 Uniform Combined State Law Examination
  2016-05-19

Other Names

• Liselotte Anne Cooper
• Liselotte Anne Mccloud
• Liselotte Anne Mccloud