RICHARDS, MERRILL & PETERSON, INC. of SPOKANE, WA is an SEC-registered investment adviser (CRD 713). Regulatory assets under management: $643.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Steven Richard Larson | CHAIRMAN EMERITUS; CHAIRMAN OF THE BOARD | — |
| John Scott Larson | CEO CHAIRMAN OF THE BOARD; CEO CHAIRMAN OF THE BOARD COO & CO-CCO; PRESIDENT COO & CO-CCO | — |
| Thomas Lee Mcdonald | EXECUTIVE VICE PRESIDENT BD CO-CCO; EXECUTIVE VICE PRESIDENT CFO & BD CO-CCO; EXECUTIVE VICE PRESIDENT CFO & BD CO-CCO | — |
| Monique Celeste Corigliano | REGISTERED REPRESENTATIVE | — |
| Mark J Calkins | PRESIDENT; PRESIDENT CO-CCO | — |
| MCDONALD SUZANNE LEE | EXECUTIVE VICE PRESIDENT BD CO-CCO; VICE PRESIDENT, C.F.O. | — |
| LARSON JEFFREY SCOTT | PRESIDENT COO & CO-CCO | — |
| CORIGLIANO MONIQUE CELESTE | REGISTERED REPRESENTATIVE | — |
| LARSON STEVEN RICHARD | CCO & CEO; CHAIRMAN OF THE BOARD | — |
| Charles David Cowgill | RIA CO-CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-09-14 | regulatory | TRANSACTING BUSINES IN TEXAS AS A BROKER DEALER WITHOUT A TEXAS LICENSE; EMPLOYING SALESPERSONS TO ACT IN TEXAS WITHOUT A TEXAS LICENSE | Final | $30K |
| 2016-04-11 | regulatory | FIRM SOLD A MUNICIPAL BOND TO CUSTOMERS IN MULTIPLE TRANSACTIONS IN AMOUNTS BELOW THE BOND'S MINIMUM DENOMINATION. AS A RESULT, THE FIRM VIOLATED MSRB RULES G-15(F) AND G-17 | Final | $45K |
| 2016-03-10 | regulatory | TRANSACTING BUSINESS IN OREGON AS A BROKER-DEALER WITHOUT AN OREGON LICENSE; EMPLOYING A SALESPERSON TO ACT IN OREGON WITHOUT AN OREGON LICENSE | Final | $13K |
| 2015-06-19 | regulatory | CONDUCTING SECURITIES TRANSACTIONS AND PROVIDING FALSE AFFIDAVIT STATING WE HAD NOT ENGAGED IN BUSINESS IN THE STATE OF NEBRASKA | Final | $9K |