Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Douglas Richard has been a securities professional since February 12, 2006. James holds the Series 3, 7, 24, and 63 licenses. James currently works for DWS Distributors, Inc. and is registered in 53 states and Puerto Rico. James was previously registered with DEAM INVESTOR SERVICES, INC..
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.
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.
1
2
MA
05/31/2011 - Present
DWS Distributors, Inc. (BOSTON MA)
NY
02/13/2006 - 05/31/2011
DEAM INVESTOR SERVICES, INC. (NEW YORK NY)
BC
Issued 03/03/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2007
Series 3 - National Commodity Futures Examination
BC
Issued 02/10/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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