Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richmond is a financial professional with over 8 years of experience in the financial services industry. James is currently registered with GT Securities, Inc. in California, Connecticut and New York. Previously, James was employed at Shorebridge Capital Securities, LLC and Standard Chartered Securities North America LLC. James holds Series 63, SIE and Series 79 licenses.
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.
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2
CA
02/10/2022 - Present
GT Securities, Inc. (LOS ANGELES CA)
NY
01/07/2020 - 10/19/2021
SHOREBRIDGE CAPITAL SECURITIES, LLC (NEW YORK NY)
NY
12/21/2013 - 01/17/2019
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC (NEW YORK NY)
BC
Issued 01/16/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2013
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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