James W. Richardson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Richardson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2015 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 7, 2015 - January 11, 2021
TD AMERITRADE, INC.
November 17, 2014 - January 11, 2021
TD AMERITRADE, INC.
June 4, 2013 - April 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 21, 2013 - April 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 25, 2007 - October 12, 2011
MSI FINANCIAL SERVICES, INC.
August 27, 2003 - May 15, 2006
MUTUAL OF AMERICA SECURITIES LLC
August 27, 2003 - May 15, 2006
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 8, 2001 - August 13, 2002
CUTWATER ASSET MANAGEMENT
February 17, 2000 - March 2, 2000
SCARBOROUGH SECURITIES CORPORATION
October 29, 1998 - February 16, 2000
SCARBOROUGH SECURITIES CORPORATION
October 8, 1991 - September 26, 1996
JOSEPHTHAL & CO., INC.
April 9, 1990 - October 23, 1991
JJC SECURITIES CO., INC.
September 15, 1989 - April 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 2, 1985 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
September 25, 1984 - May 2, 1985
MONVEST SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/9/2024
General Securities Representative ExaminationSeries 15
Date: 5/15/1986
Foreign Currency Options ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
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