Howard Richardson has been Managing Member / Chief Compliance Officer of Investment Management & Planning since January 2002, is a control person of the firm and directly owns 75% or more of it.
Investment Management & Planning LLC is a Greenville, DE firm with $239M under management, 511 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Howard C. Richardson is Founding Partner and President of Investment Management & Planning, LLC. He has over 30 years of experience in the financial advisory profession and practices comprehensive financial planning with an emphasis on retirement and estate planning.
Howard Richardson’s longest registration is the current one, 24 years at Investment Management & Planning since 2002. Before joining Investment Management & Planning in 2002, Howard Richardson was registered through LPL Financial LLC.
- – present · 24 yearsGreenville, DE · Adviser representative · Firm CRD 146041
- LPL Financial LLC– · 19 yearsDewey Beach, DE · Adviser representative · Firm CRD 6413
Professional designations
Listed by Investment Management & Planning
- CFP®
- Chartered Mutual Fund Counselor (CMFC)
Investment adviser representative registrations
Howard Richardson is registered as an investment adviser representative in 3 states. The first approvals date from February 2002; the most recent are Pennsylvania and Texas, in April 2016.
- DelawareSince 25 February 2002
- PennsylvaniaSince 4 April 2016
- TexasSince 4 April 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 26 February 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 10 March 1995 |
| Series 7 | General Securities Representative Examination | 12 February 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 January 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Howard Calvert Richardson
- CRD
- 2175911
- Firm
- Investment Management & Planning · CRD 146041
- Role
- Managing Member / Chief Compliance Officer
- Office
- 20 MONTCHANIN ROAD, SUITE 270, Greenville, DE 19807
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- imandp.com
Where does Howard Richardson work?
Howard Richardson has been Managing Member / Chief Compliance Officer of Investment Management & Planning LLC since January 2002, and is a control person of the firm.
Is Howard Richardson a financial advisor?
Yes. Howard Richardson has a current investment-adviser registration in Delaware, Pennsylvania and Texas, through Investment Management & Planning since February 2002.
How many years of experience does Howard Richardson have?
Howard Richardson has 34 years in the financial industry, since February 1992, across 2 adviser firms.
What exams has Howard Richardson passed?
Howard Richardson has passed 4 licensing exams: the Series 63, Series 7, Series 65 and Series 24. The earliest, the Series 63, was passed in January 1992. FINRA credited Howard Richardson with the SIE, which began in October 2018.
Where is Howard Richardson based?
Howard Richardson’s registered office is in Greenville, DE.
Is Howard Richardson registered with FINRA?
Yes. Howard Richardson has a current broker registration, under CRD 2175911.
Source: FINRA BrokerCheck
Is Howard Richardson a CFP?
Investment Management & Planning lists Howard Richardson with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Howard Richardson’s record?
Search CRD 2175911 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Howard Richardson’s full registration record.