James B. 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 Bryan Richardson, who also goes by James Richardson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 7 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
September 6, 2018 - March 26, 2019
ALPHASTAR CAPITAL MANAGEMENT
December 18, 2015 - October 17, 2017
ALLEN C. EWING & CO.
December 7, 2015 - June 29, 2018
HAYDEN ROYAL
May 5, 2015 - December 31, 2015
CARHART CAPITAL MANAGEMENT LLC
March 31, 2008 - December 31, 2010
WADDELL & REED
October 22, 2004 - January 6, 2014
WADDELL & REED
April 3, 2000 - October 31, 2000
MORGAN STANLEY DW INC.
July 13, 1999 - April 4, 2000
IDS LIFE INSURANCE COMPANY
July 13, 1999 - April 4, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1999 - July 22, 1999
NATIONWIDE SECURITIES, LLC
August 30, 1996 - October 12, 1998
MONY SECURITIES CORPORATION
July 14, 1995 - August 30, 1996
METROPOLITAN LIFE INSURANCE COMPANY
July 14, 1995 - August 30, 1996
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
