James RichardsonCRD Number: 1303877
Current Firm: Td Ameritrade, Inc.
James Richardson (CRD# 1303877) is an Investment Advisor Representative working at Td Ameritrade, Inc. in Stamford, CT and has over 32 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|Td Ameritrade||Stamford, CT||Nov 2014 - Current||2|
|Unemployed||Armonk, NY||Apr 2014 - Nov 2014||< 1|
|Wells Fargo Advisors LLC||Old Greenwich, CT||May 2013 - Apr 2014||< 1|
|Edward Jones||Pelham, NY||Apr 2013 - May 2013||< 1|
|Unemployed||Armonk, NY||Oct 2011 - Apr 2013||1|
|Metlife Securities||Elmsford, NY||Dec 2006 - Oct 2011||4|
|Metropolitan Life Ins Co||Elmsford, NY||Dec 2006 - Sep 2011||4|
|Unemployed||Armonk, NY||May 2006 - Dec 2006||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jan 2015|
|S63||Uniform Securities State Law Examination||Nov 1984|
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV