James Richter, financial advisor Sarasota FL
93 score

James Richter

CRD Number: 3122234
Current Firm: Advisory Services Network

James Richter (CRD# 3122234) is an Investment Advisor Representative working at Advisory Services Network in Sarasota, FL and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Kovack Securities Inc. Marietta, GA Oct 2014 - Current 2
Advisory Services Network, LLC Atlanta, GA May 2013 - Current 3
Resource Horizons Group LLC Marietta, GA May 2013 - Oct 2014 1
Esg Wealth Management, LLC Conshohocken, PA Jan 2009 - May 2013 4
Purshe Kaplan Sterling Investments Albany, NY Jan 2009 - May 2013 4
Morgan Stanley & Company, Incorporated Wayne, PA Jul 2005 - Jan 2009 3
Morgan Stanley Dw, Inc. Wayne, PA Jul 2005 - Apr 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1999
S65 NASAA Investment Advisors Law Examination Jun 1999
Contact Info for James S. Richter
Phone Number: 770.352.0449
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    734
    MILLIONS
  • Total Number of Accounts
    3,805
    ACCOUNTS
  • Average Account Value
    $192,993
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, CT, FL, GA, IN, KY, LA, MA, ME, MI, MS, NC, NH, NJ, NY, OH, PA, SC, TN, TX, UT, VA, WI

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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