William Richards has been an investment adviser representative at Your Ia since March 2026, and is not listed among the firm’s executive officers or direct owners.
Your Ia, LLC is a St. George, UT firm with $107M under management, 190 clients and 15 advisers across 20 offices, as of its August 2026 filing.
William Richards’ longest registration was 8 years at Transamerica Financial Advisors, Inc. (2016–2024). Before joining Your Ia in 2026, William Richards was registered through Osaic Wealth, Inc. and Transamerica Financial Advisors, Inc.
- Your Ia, LLCCurrent– present · under a yearSalt Lake City, UT · Adviser representative · Firm CRD 338535
- Osaic Wealth, Inc.– · 1 yearSalt Lake City, UT · Adviser representative · Firm CRD 23131
- Transamerica Financial Advisors, Inc.– · 8 yearsSalt Lake City, UT · Adviser representative · Firm CRD 16164
- Invest Financial Corporation– · 7 yearsDraper, UT · Adviser representative · Firm CRD 12984
- Intersecurities, Inc.– · 1 yearMidvale, UT · Adviser representative · Firm CRD 16164
Investment adviser representative registrations
William Richards is registered as an investment adviser representative in Utah, since March 2026.
- UtahSince 20 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 23 April 2026 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 20 June 2007 |
| Series 24 | General Securities Principal Examination | 29 October 1990 |
| Series 7 | General Securities Representative Examination | 24 July 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 July 1980 |
| Series 1 | Registered Representative Examination | 2 February 1980 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Representative Examination
- Full name
- William Charles Richards
- CRD
- 704666
- Firm
- Your Ia · CRD 338535
- Office
- 1414 E Murray Holladay Rd, Salt Lake City, UT 84117
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does William Richards work?
William Richards is an investment adviser representative registered through Your Ia, LLC since March 2026, and is not listed among the firm’s executive officers or direct owners.
Is William Richards a financial advisor?
Yes. William Richards has a current investment-adviser registration in Utah, through Your Ia since March 2026.
How many years of experience does William Richards have?
William Richards has 43 years in the financial industry, since January 1983, across 4 adviser firms.
What exams has William Richards passed?
William Richards has passed 6 licensing exams: the Series 1, Series 63, Series 7, Series 24, Series 66 and Series 6TO. The earliest, the Series 1, was passed in February 1980. FINRA credited William Richards with the SIE, which began in October 2018.
Where did William Richards work before Your Ia?
Before Your Ia, William Richards was registered through Osaic Wealth, Inc., July 2024 to March 2026; Transamerica Financial Advisors, Inc., March 2016 to July 2024; Invest Financial Corporation, March 2009 to March 2016; Intersecurities, Inc., June 2007 to March 2009.
Where is William Richards based?
William Richards’ registered office is in Salt Lake City, UT.
Is William Richards registered with FINRA?
Yes. William Richards has a current broker registration, under CRD 704666.
Source: FINRA BrokerCheck
How can I verify William Richards’ record?
Search CRD 704666 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish William Richards’ full registration record.