Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames D. Richardson is a financial advisor with Gallagher Fiduciary Advisors, LLC. He has been in the industry since 2002 and has held previous roles at TRIAD ADVISORS LLC, KESTRA INVESTMENT SERVICES, LLC, LPL FINANCIAL LLC, MMC SECURITIES CORP., NFP SECURITIES, INC., FIDELITY BROKERAGE SERVICES LLC, and FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. James is registered as an investment advisor representative in Connecticut, Georgia, Massachusetts, New Hampshire, New York, Pennsylvania, and Rhode Island. He also holds the Series 6, 7, 26, 63, and 66 licenses. James specializes in providing financial planning, portfolio management, and retirement plan consulting services to individuals, corporations, and institutions. He is a committed professional with a passion for helping clients 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.
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.
See schedule d misc. for explanation
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.
A percentage of the total value of assets under management is charged.
1
2
MA
06/08/2022 - Present
Gallagher Fiduciary Advisors, LLC (Boston MA)
MA
03/29/2022 - 08/23/2024
TRIAD ADVISORS LLC (Boston MA)
MA
11/03/2015 - 03/31/2022
KESTRA INVESTMENT SERVICES, LLC (Boston MA)
MA
03/28/2014 - 11/30/2015
LPL FINANCIAL LLC (BOSTON MA)
MA
08/31/2011 - 10/28/2013
MMC SECURITIES CORP. (BOSTON MA)
MA
07/07/2008 - 09/08/2011
NFP SECURITIES, INC. (BOSTON MA)
NH
01/01/2008 - 06/26/2008
FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)
NH
07/12/2006 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MERRIMACK NH)
RI
09/12/2002 - 07/12/2006
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
RI
06/25/2002 - 09/12/2002
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
BOTH
Issued 03/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2002
Series 7 - General Securities Representative Examination
BC
Issued 06/17/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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