JR
James D. Richard
DWS DISTRIBUTORS
BOSTON, MA 02110
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CRD#: 4235851
JR
James Douglas RichardDWS DISTRIBUTORS
Professional summary
James Douglas Richard is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Boston, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view James Douglas Richard'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®
NoneExperience
Current
May 31, 2011 - Present
DWS DISTRIBUTORS, INC.
Office #1: 100 Summer Street, Boston, MA 02110BD
CRD#: 37306
BOSTON, MA
Past
February 13, 2006 - May 31, 2011
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/31/2011)
RR
Alaska(5/31/2011)
RR
Arizona(5/31/2011)
RR
Arkansas(5/31/2011)
RR
California(5/31/2011)
RR
Colorado(5/31/2011)
RR
Connecticut(5/31/2011)
RR
Delaware(5/31/2011)
RR
District of Columbia(5/31/2011)
RR
Florida(5/31/2011)
RR
Georgia(5/31/2011)
RR
Hawaii(5/31/2011)
RR
Idaho(5/31/2011)
RR
Illinois(5/31/2011)
RR
Indiana(5/31/2011)
RR
Iowa(5/31/2011)
RR
Kansas(5/31/2011)
RR
Kentucky(5/31/2011)
RR
Louisiana(5/31/2011)
RR
Maine(5/31/2011)
RR
Maryland(5/31/2011)
RR
Massachusetts(5/31/2011)
RR
Michigan(5/31/2011)
RR
Minnesota(5/31/2011)
RR
Mississippi(5/31/2011)
RR
Missouri(5/31/2011)
RR
Montana(5/31/2011)
RR
Nebraska(5/31/2011)
RR
Nevada(5/31/2011)
RR
New Hampshire(5/31/2011)
RR
New Jersey(5/31/2011)
RR
New Mexico(5/31/2011)
RR
New York(5/31/2011)
RR
North Carolina(5/31/2011)
RR
North Dakota(5/31/2011)
RR
Ohio(5/31/2011)
RR
Oklahoma(5/31/2011)
RR
Oregon(5/31/2011)
RR
Pennsylvania(5/31/2011)
RR
Puerto Rico(5/31/2011)
RR
Rhode Island(5/31/2011)
RR
South Carolina(5/31/2011)
RR
South Dakota(5/31/2011)
RR
Tennessee(5/31/2011)
RR
Texas(5/31/2011)
RR
Utah(5/31/2011)
RR
Vermont(5/31/2011)
RR
Virgin Islands(1/2/2018)
RR
Virginia(5/31/2011)
RR
Washington(5/31/2011)
RR
West Virginia(5/31/2011)
RR
Wisconsin(5/31/2011)
RR
Wyoming(5/31/2011)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(312) 537-7000
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER AND DIRECTOR | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| O'CONNELL, BRIAN PATRICK | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 3089261 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | VICE PRESIDENT | 1950330 |
| VASSIL, JASON TODD | DIRECTOR AND VICE PRESIDENT | 4477245 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| 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.
