Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Richard is a registered investment advisor representative with Great Point Advisors, LLC. James has been in the industry since 2002 and is a Series 7, 31, and 66 licensed professional. James has previous experience with B. Riley Wealth Management, Anderson & Strudwick, Incorporated, Jesup & Lamont Securities Corp, E*TRADE Securities LLC, CitiCorp Investment Services, and Morgan Stanley DW Inc. James has specializations in Fixed Income, Mutual Funds, and Options. James is also the owner of Lee Road LLC., a building that rents space to a post office and a convenient store. James is dedicated to providing sound financial advice to individuals and corporations.
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.
Helps you choose top advisors aligned with your financial goals.
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
OH
01/10/2022 - Present
Great Point Advisors, LLC (Wooster OH)
OH
07/19/2010 - 09/02/2021
B. RILEY WEALTH MANAGEMENT (Wooster OH)
IL
07/01/2010 - 07/16/2010
ANDERSON & STRUDWICK, INCORPORATED (CHICAGO IL)
IL
11/06/2009 - 07/07/2010
JESUP & LAMONT SECURITIES CORP (CHICAGO IL)
IL
06/24/2005 - 11/10/2009
E*TRADE SECURITIES LLC (CHICAGO IL)
NY
11/26/2003 - 06/22/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
05/27/2002 - 11/14/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 07/03/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 05/24/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
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