James RichardsonCRD Number: 1983566
Current Firm: Wells Fargo Advisors, LLC
James Richardson (CRD# 1983566) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Temple, TX and has over 27 years of experience in the finance industry.
Financial Planning Professionals, Inc.
Bbva Wealth Solutions Inc.
|Wells Fargo Advisors LLC||Temple, TX||May 2009 - Current||7|
|Wachovia Securities,llc||Temple, TX||Dec 2005 - May 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1989|
|S65||NASAA Investment Advisors Law Examination||Apr 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management372,113MILLIONS
Total Number of Accounts1,339,368ACCOUNTS
Average Account Value$277,827
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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