Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richards is a financial advisor with over 13 years of experience in the financial services industry. James has been with UBS Financial Services Inc. since 2019, and prior to that, worked with Morgan Stanley and Merrill Lynch. James has Series 7, 63, and 66 securities licenses. He is a registered representative in 53 states and the District of Columbia and is also a registered investment advisor in Virginia and Florida. James is dedicated to providing his clients with personalized financial advice and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
VA
09/05/2019 - Present
UBS Financial Services Inc. (McLean VA)
MD
09/03/2015 - 08/30/2019
MORGAN STANLEY (POTOMAC MD)
VA
11/05/2014 - 07/30/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RESTON VA)
VA
09/28/2010 - 11/11/2014
MORGAN STANLEY (MCLEAN VA)
VA
10/23/2009 - 01/12/2010
MORGAN STANLEY SMITH BARNEY (VIENNA VA)
BOTH
Issued 08/08/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/2009
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Richards is the right advisor for you? Invested Better is here to help.
