Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kirby Richards is a financial advisor with over 40 years of experience in the industry. James is currently registered with D.a. Davidson & Co., and holds both Series 63 and Series 65 licenses. He also holds the Series 3, Series 7, and Series 8 licenses. James has extensive experience in the securities industry, having previously worked at First Union Securities, Inc., Prudential Securities Incorporated, Shearson Lehman Hutton Inc., and Foster & Marshall/American Express Inc. James specializes in working with individuals, corporations, and other entities. James works with clients to develop comprehensive financial plans that address their unique needs and 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.
A percentage of the total value of assets under management is charged.
1
2
WA
08/30/2010 - Present
D.a. Davidson & Co. (BELLEVUE WA)
MO
10/30/1998 - 12/05/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
05/04/1990 - 11/20/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/11/1985 - 05/29/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
07/22/1982 - 12/06/1984
FOSTER & MARSHALL/AMERICAN EXPRESS INC.
IA
Issued 08/27/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1983
Series 3 - National Commodity Futures Examination
BC
Issued 07/17/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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