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 with Wells Fargo Clearing Services, LLC. James has over 30 years of experience in the financial services industry. James is licensed to provide financial advice in several states including Iowa, Texas, and Illinois. James is a Series 63, 65, 7 and 31 license holder. In addition to financial planning, James also specializes in portfolio management for individuals and businesses. Previously, James was employed at several other firms including Morgan Stanley & Co. and Morgan Stanley DW. James is committed to helping clients reach their financial 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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IA
01/07/2020 - Present
Wells Fargo Clearing Services, LLC (WEST DES MOINES IA)
IA
02/15/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (DAVENPORT IA)
IA
04/02/2007 - 11/26/2007
MORGAN STANLEY & CO., INCORPORATED (WEST DES MOINES IA)
IA
10/21/2005 - 04/02/2007
MORGAN STANLEY DW INC. (WEST DES MOINES IA)
IL
09/30/1998 - 11/18/2003
AMCORE INVESTMENT SERVICES, INC (ROCKFORD IL)
NA
06/24/1997 - 09/30/1998
IMG FINANCIAL SERVICES, INC.
MN
01/22/1997 - 05/05/1997
BRENTON INVESTMENTS, INC. (PLYMOUTH MN)
NA
11/08/1991 - 02/09/1996
IMG FINANCIAL SERVICES, INC.
IA
01/21/1986 - 07/01/1991
SECURITIES CORPORATION OF IOWA (CEDAR RAPIDS IA)
BC
Issued 02/25/2010
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/31/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2010
Series 7 - General Securities Representative Examination
BC
Issued 12/22/2005
Series 31 - Futures Managed Funds Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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