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 Donald Richardson, who also goes by J Don Richardson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2010 - March 27, 2013
GROVE POINT INVESTMENTS, LLC
August 9, 2010 - March 27, 2013
GROVE POINT INVESTMENTS, LLC
January 21, 2004 - January 8, 2010
VALIC FINANCIAL ADVISORS, INC.
July 29, 1998 - January 8, 2010
VALIC FINANCIAL ADVISORS, INC.
January 11, 1991 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 11, 1989 - November 16, 1991
METROPOLITAN LIFE INSURANCE COMPANY
October 11, 1989 - November 16, 1991
MSI FINANCIAL SERVICES, INC.
March 11, 1986 - June 12, 1989
GUARDIAN INVESTOR SERVICES LLC
July 14, 1982 - March 7, 1986
1717 CAPITAL MANAGEMENT COMPANY
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
Series 1
Date: 3/3/1969
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
