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 at Cetera Investment Advisers LLC. James has been in the financial services industry for over 39 years. James is registered with the Securities and Exchange Commission (SEC) and is also a registered representative of Cetera Investment Advisers LLC. James is a Certified Financial Planner (CFP). James has experience providing financial planning, portfolio management, and pension consulting services.
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.
A percentage of the total value of assets under management is charged.
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2
CO
06/29/2023 - Present
Cetera Investment Advisers LLC (ENGLEWOOD CO)
CO
02/23/1993 - 09/03/2013
WALNUT STREET SECURITIES, INC. (ENGLEWOOD CO)
IN
01/11/1990 - 03/11/1993
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
01/11/1990 - 03/11/1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
PA
06/19/1984 - 01/24/1990
CIGNA SECURITIES, INC. (RADNOR PA)
IA
Issued 11/4/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 6/26/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 6/18/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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