James R. Richards

NOBLES & RICHARDS

Plano, TX 75074

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CRD#: 2680389

Professional summary

James Ross Richards, who also goes by Jim Richards, is a registered financial professional currently at NOBLES & RICHARDS, INC. located in Plano, Texas and GPP SECURITIES, LLC located in Greenwich, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 33 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 24, Series 53, Series 27 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Richards

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. The University of Texas at Dallas; not inv-rel; 800 W Campbell Rd, Richardson, TX 75080; education; Senior Lecturer of Finance; started 08/2009; 0 hours; senior lecturer of finance 2. Venturis Therapeutics, Inc.; inv-rel; 2626 Cole Avenue, Suite 30, Dallas, Texas 75204; biopharmaceutical; Independent Member of Board of Directors; started 09/2014; 5 hours; board member 3. Texas Business Capital, LLC; not inv-rel; 4617 Mockingbird Ln, Dallas, TX 75209; Business Development; Owner; Started 12/2000; 2 hours; business development 4. Red River Petroleum, LLC; inv-rel; 4617 Mockingbird Ln, Dallas, TX 75209; Oil & Gas; Managing Member; CFO; started 06/2016; 5 hours; acquisition of oil and gas lease 5. Nobles & Richards Advisors, Inc.; inv-rel; 801 E Plano Pkwy, Ste 220, Plano, TX 75074; Registered Investment Advisor; Owner; CFO; started 03/2015; 2 hours; CFO 6. Navidar Group, LLC; inv-rel; 2700 Via Fortuna, Ste 140, Austin TX 78746; Private M&A; FINOP; started 05/2021; 10 hours; FINOP 7. Capital Hill Group, Inc.; inv-rel; 43 Rainey St. #3201, Austin TX 78701; Inactive Broker/Dealer; FINOP; started 05/2021; 10 hours; FINOP 8. Old Slip Capital Management, Inc.; inv-rel; 40 Wall Street, 28th Floor, New York, NY 10005; Investment Management; FINOP; started 05/2021; 20 hours; FINOP 9. Nobles & Richards, Inc.; inv-rel; 801 E Plano Pkwy, Ste 220, Plano, TX 75074; Broker/Dealer; Owner; FINOP; started 08/2008; 10 hours; FINOP 10. GPP Securities, LLC; inv-rel; 165 Mason St, 3rd Floor Greenwich, CT 06830; Private Equity; FINOP; started 08/2018; 10 hours; FINOP 11. Reef Securities, Inc.; inv-rel; 1901 N Central Expy, Ste 310 Richardson, TX 75080; DPP Oil & Gas; FINOP; started 10/2018; 10 hours; FINOP 12. Allocations Securities, LLC; inv-rel; 3558 Round Barn Blvd, Ste 200 Office 206, San Mateo, CA 95403; ATS; FINOP; started 12/2022; 15 hours; FINOP 13. Investment Visa Consultants, LLC; inv-rel; 2679 Glen Eagles Rd, Lake Oswego, OR 97034; EB-5 Visa Investments; FINOP; started 07/2019; 20 hours; FINOP

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Ross Richards's 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

August 13, 2008 - Present

NOBLES & RICHARDS, INC.

Office #1: 801 East Plano Parkway Suite 220, Plano, TX 75074

CRD#: 146870

Plano, TX

Current

August 1, 2018 - Present

GPP SECURITIES, LLC

Office #1: 165 Mason Street 3rd Floor, Greenwich, CT, 06830

CRD#: 285223

Greenwich, CT

Current

October 26, 2018 - Present

REEF SECURITIES, INC.

Office #1: 1901 N Central Expressway, Suite 310, Richardson, TX 75080

CRD#: 31951

RICHARDSON, TX

Current

July 19, 2019 - Present

INVESTMENT VISA CONSULTANTS, LLC

Office #1: 2679 Glen Eagles Rd, Lake Oswego, OR 97034

CRD#: 169254

Lake Oswego, OR

Current

April 26, 2021 - Present

NAVIDAR GROUP LLC

Office #1: 2700 Via Fortuna, Suite 140, Austin, TX 78746

CRD#: 148011

Austin, TX

Current

December 21, 2022 - Present

ALLOCATIONS SECURITIES

Office #1: 3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403

CRD#: 317750

Santa Rosa, CA

Current

June 29, 2023 - Present

OLD SLIP CAPITAL MANAGEMENT, INC.

Office #1: 40 Wall Street 28th Floor, New York, NY 10005

CRD#: 7360

New York, NY

Past

May 18, 2023 - December 18, 2023

DCMB SECURITIES LLC

CRD#: 146578

HOUSTON, TX

Past

January 10, 2022 - June 30, 2023

CHAPWOOD SECURITIES, INC.

CRD#: 154376

PLANO, TX

Past

May 7, 2021 - June 6, 2023

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

April 3, 2020 - April 20, 2020

NEW INVESTOR WORLD INCORPORATED

CRD#: 109356

PLANO, TX

Past

July 13, 2018 - May 11, 2020

CREST CAPITAL LLC

CRD#: 172664

WALDO, WI

Past

April 7, 2016 - August 12, 2025

NOBLES & RICHARDS ADVISORS, LLC

RIA

CRD#: 281539

PLANO, TX

Past

March 26, 2015 - September 23, 2016

TEXAS E&P PARTNERS, INC.

CRD#: 127228

RICHARDSON, TX

Past

April 14, 2014 - October 11, 2018

ISC ADVISORS, INC.

RIA

CRD#: 166586

DALLAS, TX

Past

August 13, 2013 - May 6, 2020

LION STREET FINANCIAL, LLC

CRD#: 165828

AUSTIN, TX

Past

January 18, 2013 - December 31, 2013

INSTITUTIONAL SECURITIES CORPORATION

RIA

CRD#: 20291

DALLAS, TX

Past

July 16, 2012 - February 11, 2013

GUARDIAN DIRECT ENERGY PROGRAMS, INC.

CRD#: 149306

SOUTHLAKE, TX

Past

July 28, 2011 - August 31, 2011

TITUS FINANCIAL, INCORPORATED

CRD#: 27271

MCKINNEY, TX

Past

June 11, 2009 - October 12, 2010

WALL AND COMPANY SECURITIES, INC.

CRD#: 40894

FRISCO, TX

Past

August 5, 2008 - December 31, 2010

MPG FINANCIAL, LLC

CRD#: 146670

RICHARDSON, TX

Past

October 24, 2007 - January 4, 2011

TEXLARK SECURITIES, LLC

CRD#: 132226

PLANO, TX

Past

October 1, 2007 - May 2, 2011

WORTH FINANCIAL GROUP INC.

CRD#: 13478

DALLAS, TX

Past

August 20, 2007 - June 1, 2011

TEXAS E&P PARTNERS, INC.

CRD#: 127228

RICHARDSON, TX

Past

January 24, 2007 - November 23, 2010

COUCH FINANCIAL SERVICES, INC.

CRD#: 130559

DALLAS, TX

Past

January 8, 2007 - December 22, 2010

EURO AMERICAN CAPITAL CORPORATION

CRD#: 43711

DALLAS, TX

Past

June 27, 2006 - April 12, 2007

CAC CAPITAL CORP

CRD#: 15396

DALLAS, TX

Past

February 27, 2006 - November 3, 2008

THE PATRIOT GROUP SECURITIES

CRD#: 137904

RICHARDSON, TX

Past

January 6, 2006 - March 18, 2010

PROVIDENT ASSET MANAGEMENT, LLC

CRD#: 128642

DALLAS, TX

Past

August 23, 2005 - November 18, 2011

GOVERNMENT CAPITAL SECURITIES CORPORATION

RIA

CRD#: 46850

SOUTHLAKE, TX

Past

June 2, 2004 - August 12, 2005

CAC CAPITAL CORP

CRD#: 15396

DALLAS, TX

Past

January 23, 2004 - June 23, 2004

RICHMARK CAPITAL CORPORATION

CRD#: 43162

IRVING, TX

Past

August 25, 2003 - February 23, 2004

EMEC FINANCIAL, INC.

CRD#: 112240

DALLAS, TX

Past

October 26, 2001 - December 31, 2002

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

September 14, 2001 - March 19, 2020

NEW INVESTOR WORLD INCORPORATED

CRD#: 109356

DALLAS, TX

Past

June 19, 2001 - June 19, 2002

RICHMARK CAPITAL CORPORATION

CRD#: 43162

IRVING, TX

Past

January 12, 2001 - February 28, 2001

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

March 8, 1999 - August 31, 2020

GOVERNMENT CAPITAL SECURITIES CORPORATION

CRD#: 46850

SOUTHLAKE, TX

Past

February 5, 1997 - May 8, 2002

DILLON - GAGE SECURITIES, INC.

CRD#: 10821

ADDISON, TX

Past

June 18, 1996 - August 6, 1996

HARRIS SECURITIES, INC.

CRD#: 16587

DALLAS, TX

State Registrations and Notice Filings

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

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

California
(12/22/2022)

Delaware
(1/30/2023)

Indiana
(4/22/2009)

Puerto Rico
(4/24/2017)

Texas
(1/21/2009)

Exams

State Security Law Exam

Series 63

Date: 5/22/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/9/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/30/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/16/2001

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 28

Date: 6/5/1996

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

OLD SLIP CAPITAL MANAGEMENT, INC.

CNA INVESTOR SERVICES, INC. | OLD SLIP CAPITAL MANAGMENT, INC. | OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360 / SEC#: , 8-13023

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street 28th Floor, New York, NY 10005

Mailing Address

40 Wall Street 28th Floor, New York, NY 10005

Phone number

(646) 290-7711

Established

Illinois since 10/05/1966

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LUKEZIC, JAMES JOSEPH	MANAGING PRINCIPAL	4284800
LUKEZIC, JAMES JOSEPH	CCO	4284800
RICHARDS, JAMES ROSS	FINANCIAL OPERATIONS PRINCIPAL	2680389
RICHARDS, JAMES ROSS	FINOP	2680389

Disclosures

Regulatory Event	4
Bond	1

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

James R. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Ross Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

GPP SECURITIES, LLC

REEF SECURITIES, INC.

INVESTMENT VISA CONSULTANTS, LLC

NAVIDAR GROUP LLC

ALLOCATIONS SECURITIES

OLD SLIP CAPITAL MANAGEMENT, INC.

DCMB SECURITIES LLC

CHAPWOOD SECURITIES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

NEW INVESTOR WORLD INCORPORATED

CREST CAPITAL LLC

NOBLES & RICHARDS ADVISORS, LLC

TEXAS E&P PARTNERS, INC.

ISC ADVISORS, INC.

LION STREET FINANCIAL, LLC

INSTITUTIONAL SECURITIES CORPORATION

GUARDIAN DIRECT ENERGY PROGRAMS, INC.

TITUS FINANCIAL, INCORPORATED

WALL AND COMPANY SECURITIES, INC.

MPG FINANCIAL, LLC

TEXLARK SECURITIES, LLC

WORTH FINANCIAL GROUP INC.

TEXAS E&P PARTNERS, INC.

COUCH FINANCIAL SERVICES, INC.

EURO AMERICAN CAPITAL CORPORATION

CAC CAPITAL CORP

THE PATRIOT GROUP SECURITIES

PROVIDENT ASSET MANAGEMENT, LLC

GOVERNMENT CAPITAL SECURITIES CORPORATION

CAC CAPITAL CORP

RICHMARK CAPITAL CORPORATION

EMEC FINANCIAL, INC.

RUSHMORE SECURITIES CORPORATION

NEW INVESTOR WORLD INCORPORATED

RICHMARK CAPITAL CORPORATION

RUSHMORE SECURITIES CORPORATION

GOVERNMENT CAPITAL SECURITIES CORPORATION

DILLON - GAGE SECURITIES, INC.

HARRIS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/2008

Series 65

Date: 8/9/2005

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/6/2009

Series 24

Date: 12/23/2003

Series 53

Date: 7/30/2003

Series 27

Date: 11/16/2001

Series 28

Date: 6/5/1996

FINRA

Current Firm

OLD SLIP CAPITAL MANAGEMENT, INC.

Contact information