James S. Richard

CORAL REEF ADVISORS LLC

Northbrook, IL

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CRD#: 2602752

Professional summary

James Sylvere Richard, who also goes by Jim Richard, is a registered financial advisor currently at CORAL REEF ADVISORS LLC located in Northbrook, Illinois and PRIVATE CLIENT SERVICES, LLC located in Louisville, Kentucky.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Richard

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Coral Reef Advisors. 13000 Sawgrass Village Circle, Building 9 unit 48, Ponte Vedra FL 32082. RIA. 100 hrs/mo; 50 during trading hrs. 2) Various insurance providers. Sell fixed insurance to residents of states in which he holds a state insurance license. Investment related. 3) Private Client Services - investment related - Ponte Vedra Beach, FL - broker-dealer - Registered Rep - 02/2024 - 60 - 60 - commission-based securities sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Sylvere Richard's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 27, 2024 - Present

CORAL REEF ADVISORS LLC

RIA

CRD#: 328929

Northbrook, IL

Current

February 16, 2024 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 2225 Lexington Rd, Louisville, KY 40206

RIA

CRD#: 7471

NEW YORK, NY

Past

April 28, 1995 - April 1, 2002

SECURITIES CORPORATION OF IOWA

CRD#: 6945

CEDAR RAPIDS, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(3/18/2024)

IAR

Florida
(7/13/2024)

Illinois
(2/16/2024)

IAR

Illinois
(2/29/2024)

Indiana
(9/30/2024)

Ohio
(2/16/2024)

South Carolina
(2/16/2024)

IAR

Texas
(2/27/2024)

Wyoming
(2/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CORAL REEF ADVISORS LLC

CORAL REEF ADVISORS LLC | CORAL REEF INVESTMENTS LLC | CORAL REEF INVESTMENTS

CRD#: 328929 / SEC#: 801-129380

RIA

Registered Investment Advisory firm - (8/20/2024 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2024 Approved)

Illinois

Registered Investment Advisory firm - (8/5/2024 Approved)

Texas

Registered Investment Advisory firm - (8/17/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

13000 Sawgrass Village Circle Building 9 Suite 48, Ponte Vedra Beach, FL 32082

Mailing Address

Phone number

(904) 582-5449

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 70,400,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James S. Richard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Sylvere Richard's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

SNOWDEN CAPITAL ADVISORS LLC

SNOWDEN ACCOUNT SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

SECURITIES CORPORATION OF IOWA

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1999

Series 63

Date: 5/15/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/27/1995

FINRA

Current Firm

CORAL REEF ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORAL REEF ADVISORS LLC

TRUST BUT VERIFY

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