James D. Richardson

GALLAGHER FIDUCIARY ADVISORS

Boston, MA 02110

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CRD#: 4512363

Professional summary

James D Richardson is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Boston, Massachusetts and OSAIC WEALTH, INC. located in Boston, Massachusetts.

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, Series 63, SIE, Series 7, Series 6 and Series 26 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.

1) Business Name: Gallagher Fiduciary Advisors Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Investment Consulting Position: Area Vice President, Retirement Plan Consultant Start Date: 04/01/2022 Hours Per Month: 140 Hours Per Day: 6 Duties: Retirement plan consulting 2) Business Name: Gallagher Benefit Services Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Retirement Plan Consulting Services Position: Area Vice President, Retirement Plan Consultant Start Date: 07/31/2015 Hours Per Month: 40 Hours Per Day: 2 Duties: Retirement plan consulting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James D 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

June 8, 2022 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 115 Federal St. 8th Floor, Boston, MA, 02110

RIA

CRD#: 146509

Boston, MA

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 115 Federal St. 8th Floor, Boston, MA 02110

RIA

CRD#: 23131

Boston, MA

Past

March 29, 2022 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Boston, MA

Past

May 2, 2016 - March 31, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Boston, MA

Past

March 23, 2016 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Boston, MA

Past

November 3, 2015 - March 31, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Boston, MA

Past

April 7, 2015 - November 30, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOSTON, MA

Past

March 28, 2014 - November 30, 2015

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

August 31, 2011 - October 28, 2013

MMC SECURITIES LLC

CRD#: 103846

BOSTON, MA

Past

July 7, 2008 - September 8, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BOSTON, MA

Past

January 1, 2008 - June 26, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

July 12, 2006 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

MERRIMACK, NH

Past

September 12, 2002 - July 12, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

June 25, 2002 - September 12, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 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

Connecticut
(8/23/2024)

Georgia
(8/23/2024)

IAR

Massachusetts
(6/8/2022)

Massachusetts
(8/23/2024)

New Hampshire
(8/23/2024)

New York
(8/23/2024)

Pennsylvania
(8/23/2024)

Rhode Island
(8/23/2024)

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: 3/30/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/17/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/2/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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.

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Advisor Monitoring

Firm Stability Insights

James D. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MMC SECURITIES LLC

KESTRA INVESTMENT SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2015

Series 63

Date: 11/13/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2002

Series 6

Date: 6/17/2002

Series 26

Date: 4/2/2007

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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