James M. Richard

QUINCY WELLS ADVISORS

Wooster, OH

Some features on this profile are disabled

CRD#: 4487263

Professional summary

James Michael Richard II, who also goes by Michael James Richard II, Michael James Richard Ii, is a registered financial advisor currently at QUINCY WELLS ADVISORS, LLC located in Wooster, Ohio and GREAT POINT CAPITAL LLC located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael James Richard Ii | Michael James Richard Ii

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.

Michael is the owner of Lee Road LLC., a building that rents space to a post office and a convenient store. The address of Lee Road LLC is 127 W. Front St. Killbuck Ohio 44673. The start date is 09/2017. He plans to spend 10-15 hours per month during normal trading hours and 30-40 hours per month outside of normal trading hours. This is not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Richard II'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

January 10, 2022 - Present

QUINCY WELLS ADVISORS, LLC

RIA

CRD#: 307477

Wooster, OH

Current

November 5, 2021 - Present

GREAT POINT CAPITAL LLC

Office #1: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606

CRD#: 114203

Chicago, IL

Past

November 8, 2021 - December 31, 2021

QUINCY WELLS ADVISORS, LLC

RIA

CRD#: 307477

Wooster, OH

Past

July 19, 2010 - September 2, 2021

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

Wooster, OH

Past

July 19, 2010 - September 2, 2021

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Wooster, OH

Past

July 1, 2010 - July 16, 2010

ANDERSON & STRUDWICK, INCORPORATED

RIA

CRD#: 48

CHICAGO, IL

Past

July 1, 2010 - July 16, 2010

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

CHICAGO, IL

Past

November 6, 2009 - July 7, 2010

JESUP & LAMONT SECURITIES CORP

RIA

CRD#: 39056

CHICAGO, IL

Past

November 6, 2009 - July 7, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

CHICAGO, IL

Past

September 27, 2006 - November 10, 2009

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

June 24, 2005 - November 10, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

CHICAGO, IL

Past

May 9, 2005 - June 22, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

GLENDORA, CA

Past

November 26, 2003 - June 22, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 22, 2003 - November 14, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEVERLY HLS, CA

Past

May 27, 2002 - November 14, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUINCY WELLS ADVISORS, LLC

GREAT POINT ADVISORS, LLC | QUINCY WELLS ADVISORS, LLC

CRD#: 307477 / SEC#: 801-118231

RIA

Registered Investment Advisory firm - (3/16/2020 Approved)

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

California
(11/5/2021)

Ohio
(11/8/2021)

IAR

Ohio
(1/10/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/12/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/24/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

QUINCY WELLS ADVISORS, LLC

GREAT POINT ADVISORS, LLC | QUINCY WELLS ADVISORS, LLC

CRD#: 307477 / SEC#: 801-118231

RIA

Registered Investment Advisory firm - (3/16/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 W. Jackson Blvd. #1000, Chicago, IL 60606

Mailing Address

9000 Keystone Crossing 7th Floor, Indianapoli, IN 46240

Phone number

(312) 356-4875

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT POINT ADVISORS FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 45,094,304

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Richard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Richard II's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT POINT CAPITAL LLC

QUINCY WELLS ADVISORS, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

ANDERSON & STRUDWICK, INCORPORATED

ANDERSON & STRUDWICK, INCORPORATED

JESUP & LAMONT SECURITIES CORP

JESUP & LAMONT SECURITIES CORP

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

QUINCY WELLS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2002

SIE

Date: 10/1/2018

Series 31

Date: 7/12/2002

Series 7

Date: 5/24/2002

FINRA

Current Firm

QUINCY WELLS ADVISORS, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUINCY WELLS ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors