Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Andrew Ricchiuti is an active advisor registered with FINRA and state securities authorities. James has been in the industry since January 3, 1996 and is currently registered with Needham & Company, LLC, which is an active firm registered with FINRA and state securities authorities. Previously, James worked with LEHMAN BROTHERS INC. which is an inactive firm registered with FINRA and state securities authorities. James has been a registered representative of Needham & Company, LLC since June 8, 1999 and is a principal at the firm. James holds Series 7, 24, 63, 86, and 87 licenses. James has passed the Securities Industry Essentials Examination (SIE). James is registered in California, Massachusetts, and New York.
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.
Securities research
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.
Pursuant to csa agreements
1
2
NY
06/08/1999 - Present
Needham & Company, LLC (NEW YORK NY)
NY
12/07/1995 - 05/10/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 07/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/08/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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