James K. Richardson

J K R & COMPANY

Laguna Beach, CA 92651

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CRD#: 375759

Professional summary

James Kemp Richardson is a registered financial advisor currently at J K R & COMPANY, INC. located in Laguna Beach, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. James has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 1, Series 53, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Kemp Richardson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Kemp Richardson'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

July 8, 1997 - Present

J K R & COMPANY, INC.

Office #1: 1540 S. Coast Hwy. #202, Laguna Beach, CA 92651

RIA

CRD#: 8040

Laguna Beach, CA

Current

November 9, 1979 - Present

J K R & COMPANY, INC.

Office #1: 1540 S. Coast Hwy. #202, Laguna Beach, CA 92651

RIA

CRD#: 8040

Laguna Beach, CA

Past

June 25, 1979 - December 9, 1979

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - June 25, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

November 21, 1974 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

April 2, 1970 - December 26, 1974

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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

Arkansas
(7/28/2017)

California
(3/24/1984)

IAR

California
(7/8/1997)

Florida
(4/28/1999)

Massachusetts
(3/12/2024)

Missouri
(8/22/2002)

Nevada
(2/21/2002)

New York
(6/1/1999)

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.

J K R & COMPANY, INC.

J K R & COMPANY, INC. | JENKS, KENNIFER, RICHARDSON & COMPANY, INC. | JENKS, KENNIFER & RICHARDSON, INCORPORATED

CRD#: 8040 / SEC#: , 8-24191

California

Registered Investment Advisory firm - SEC (12/7/2001 Approved)

New York

Registered Investment Advisory firm - SEC (8/26/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

7145 Woodley Ave, Van Nuys, CA 91406

Mailing Address

7145 Woodley Ave, Van Nuys, CA 91406

Phone number

(818) 781-7721

Established

California since 07/30/1979

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ELLIS, JAMES ANDREW	PRESIDENT / FINOP / CCO	2395774
RICHARDSON, JAMES KEMP	VICE PRESIDENT	375759

Regulatory assets under management

Total Number of Accounts	213
AUM (Assets Under Management)	$ 113,298,848

Disclosures

Regulatory Event	1
Arbitration	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.

Contact information

xxxxx@xxxx.xxx

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James K. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Kemp Richardson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Kemp Richardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

J K R & COMPANY, INC.

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/1988

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/25/1970

Series 53

Date: 1/2/2023

Series 14

Date: 1/2/2023

Series 24

Date: 10/18/1979

FINRA

Current Firm

J K R & COMPANY, INC.

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

J K R & COMPANY, INC.

TRUST BUT VERIFY

Contact information

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