James D. 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 David Richardson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2010 - November 24, 2020
CAPITAL MANAGEMENT ASSOCIATES LLC
January 4, 2002 - December 15, 2011
TRIAD ADVISORS LLC
March 2, 1998 - January 9, 2002
OSAIC WEALTH, INC.
May 23, 1997 - March 24, 1998
CITISTREET EQUITIES LLC
August 2, 1993 - January 10, 1997
CITISTREET EQUITIES LLC
August 27, 1990 - August 25, 1993
THE VARIABLE ANNUITY MARKETING COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL MANAGEMENT ASSOCIATES LLC
CRD#: 153337 / SEC#:
Contact information
Red Flags
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